JW
James E. Williams
NEWBRIDGE SECURITIES
Boca Raton, FL 33432
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CRD#: 1631008
JW
Professional summary
James Earl Williams is a registered financial advisor currently at NEWBRIDGE SECURITIES CORPORATION located in Boca Raton, Florida.
James is registered as a RR (Registered Representative) and started their career in finance in 1988. James has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 3 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view James Earl Williams's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 9, 2010 - Present
NEWBRIDGE SECURITIES CORPORATION
Office #1: 1200 North Federal Highway Suite 400, Boca Raton, FL 33432BD
CRD#: 104065
Boca Raton, FL
Past
May 24, 2005 - June 14, 2010
JANNEY MONTGOMERY SCOTT LLC
RIA
CRD#: 463
BOCA RATON, FL
Past
July 30, 2001 - June 14, 2010
JANNEY MONTGOMERY SCOTT LLC
BD
CRD#: 463
BOCA RATON, FL
Past
May 30, 2000 - July 30, 2001
JANNEY MONTGOMERY SCOTT LLC
BD
CRD#: 463
PHILADELPHIA, PA
Past
December 6, 1990 - May 31, 2000
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
ST. LOUIS, MO
Past
May 22, 1989 - November 16, 1990
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
March 23, 1988 - May 22, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
BD
CRD#: 7323
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(6/10/2022)
RR
Arizona(8/13/2010)
RR
California(6/15/2010)
RR
Colorado(2/17/2016)
RR
Connecticut(1/26/2021)
RR
Florida(6/10/2010)
RR
Georgia(6/15/2010)
RR
Illinois(4/5/2021)
RR
Iowa(1/16/2020)
RR
Kansas(9/9/2014)
RR
Louisiana(6/15/2010)
RR
Maryland(8/4/2017)
RR
Massachusetts(8/20/2021)
RR
Michigan(8/23/2023)
RR
Minnesota(7/23/2017)
RR
Mississippi(5/22/2014)
RR
Nebraska(5/26/2021)
RR
Nevada(2/23/2024)
RR
New Jersey(2/7/2019)
RR
New Mexico(1/4/2023)
RR
New York(6/15/2010)
RR
North Carolina(6/15/2010)
RR
North Dakota(6/22/2010)
RR
Ohio(3/14/2024)
RR
Oklahoma(6/28/2010)
RR
Pennsylvania(6/15/2010)
RR
South Carolina(7/3/2024)
RR
South Dakota(9/8/2017)
RR
Texas(7/27/2017)
RR
Virginia(4/1/2021)
RR
Washington(2/21/2024)
RR
Wisconsin(8/10/2010)
RR
Wyoming(1/20/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
NS
NEWBRIDGE SECURITIES CORPORATION
LUDWIG INVESTMENTS, INC. | NEWBRIDGE SECURITIES CORPORATION | NEWBRIDGE SECURITIES CORP.
CRD#: 104065 / SEC#: , 8-52538
BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information
Main Address
1200 North Federal Highway Suite 400, Boca Raton, FL 33432
Mailing Address
1200 North Federal Highway Suite 400, Boca Raton, FL 33432
Phone number
(954) 334-3450
Established
Virginia since 12/17/1997
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
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 |
| SPITLER, ROBERT PENDELTON | CO-CEO/FINOP/CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER / CCO | 4050312 |
Disclosures
| Regulatory Event | 33 |
| Arbitration | 4 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
NEWBRIDGE SECURITIES CORPORATION
CRD#: 104065Boca Raton, FL 33432TRUST BUT VERIFY
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