Charles R. Cobb
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.
Charles Robert Cobb, who also goes by Charles R Cobb, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1986. Charles had worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 7, 2017 - May 31, 2022
NEWBRIDGE SECURITIES CORPORATION
August 1, 2017 - August 28, 2017
CENTER STREET SECURITIES, INC.
June 28, 2013 - July 31, 2017
FINANCIAL WEST GROUP
August 6, 2012 - June 14, 2013
ALLIED BEACON PARTNERS, INC.
January 10, 2006 - July 2, 2012
MADISON AVENUE SECURITIES, LLC
April 17, 2000 - December 31, 2005
L.M. KOHN & COMPANY
May 3, 1999 - April 17, 2000
PARK AVENUE SECURITIES LLC
January 2, 1998 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
May 22, 1986 - January 22, 1998
NEW ENGLAND SECURITIES
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
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