James Rhodes
Professional summary
James Rhodes JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
James is a previously registered financial professional and started their career in finance in 1989. Prior to being barred, James had worked at 7 firms, which includes NEWBRIDGE SECURITIES CORPORATION, GREAT EASTERN SECURITIES INC., KIRLIN SECURITIES INC., PRUDENTIAL EQUITY GROUP LLC, KIDDER PEABODY & CO. INCORPORATED, CIBC WORLD MARKETS CORP., CITIGROUP GLOBAL MARKETS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 7, 2007 - December 31, 2008
NEWBRIDGE SECURITIES CORPORATION
September 22, 2003 - January 19, 2007
GREAT EASTERN SECURITIES, INC.
October 8, 1996 - October 17, 2003
KIRLIN SECURITIES INC.
August 12, 1994 - October 22, 1996
PRUDENTIAL EQUITY GROUP, LLC
July 5, 1991 - August 22, 1994
KIRLIN SECURITIES INC.
February 26, 1991 - June 17, 1991
KIDDER, PEABODY & CO. INCORPORATED
December 15, 1989 - March 1, 1991
CIBC WORLD MARKETS CORP.
October 12, 1989 - December 21, 1989
CITIGROUP GLOBAL MARKETS 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 |
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