Harlan O. Utecht
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Harlan Ordell Utecht was a registered financial professional .
Harlan is a previously registered financial professional and started their career in finance in 1985. Harlan had worked at 7 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 13, 2007 - October 29, 2015
NEWBRIDGE SECURITIES CORPORATION
April 3, 1998 - July 10, 2007
WALNUT STREET SECURITIES, INC.
December 14, 1995 - April 3, 1998
AEGON USA SECURITIES INC.
January 16, 1992 - November 22, 1995
ROBERT W. BAIRD & CO. INCORPORATED
September 4, 1990 - January 27, 1992
WELLS FARGO CLEARING SERVICES, LLC
April 20, 1989 - May 15, 1989
AEGON USA SECURITIES INC.
April 20, 1989 - September 4, 1990
BLUNT ELLIS & LOEWI INCORPORATED
October 23, 1985 - April 27, 1989
PERPETUAL INVESTMENT ASSOCIATES
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 8/16/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
NEWBRIDGE SECURITIES CORPORATION
CRD#: 104065 / SEC#: , 8-52538
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEWBRIDGE FINANCIAL INC. | OWNER | |
| BUDDIE, GIOVINA ANN | FINOP/COO/ TREASURER/PRINCIPAL OPERATIONS OFFICER | 1997691 |
| CASOLARO, THOMAS JOSEPH | CO-CEO & CHAIRMAN | 1812805 |
| CHAMPION, CHAD DANA | SENIOR MANAGING DIRECTOR, HEAD OF INVESTMENT BANKING AND EQUITY CAPITAL MARKETS | 3038162 |
| ROBLES, VICTOR MANUEL | FINOP/CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER | 4490918 |
| SLAVIK, RICHARD WAYNE | CHIEF COMPLIANCE OFFICER | 2122910 |
| SPITLER, ROBERT PENDELTON | CO-CEO/FINOP/CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER | 4050312 |
Disclosures
| Regulatory Event | 33 |
| Arbitration | 4 |
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