Sigmond J. Whitehill
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.
Sigmond John Whitehill, who also goes by John Whitehill, was a registered financial professional .
Sigmond is a previously registered financial professional and started their career in finance in 1985. Sigmond had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 26, 2013 - November 2, 2018
NEWBRIDGE SECURITIES CORPORATION
March 26, 2013 - May 7, 2013
AUSDAL FINANCIAL PARTNERS, INC.
January 11, 2006 - March 22, 2013
NEWBRIDGE SECURITIES CORPORATION
October 4, 2002 - January 17, 2006
CANTELLA & CO., INC.
August 17, 2001 - October 29, 2002
MIDSOUTH CAPITAL, INC.
August 19, 1997 - July 18, 2018
PORTFOLIO MANAGEMENT NETWORK, INC
April 7, 1997 - August 17, 2001
FIRST SECURITY INVESTMENTS, INC.
August 2, 1995 - December 23, 1996
BPU INVESTMENT MANAGEMENT INC.
January 3, 1995 - July 17, 1995
COMMONWEALTH SECURITIES AND INVESTMENTS, INC.
June 12, 1987 - November 2, 1994
RRZ PUBLIC MARKETS, INC.
October 25, 1985 - April 3, 1986
ADVEST, INC.
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
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 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
