Patrick J. Leahy
Professional summary
Patrick Joesph Leahy was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Patrick Joesph Leahy, who also goes by Patrick J Leahy, was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1988. Patrick had worked at 14 firms and has passed the Series 63 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
October 28, 2004 - August 4, 2009
NEWBRIDGE SECURITIES CORPORATION
June 17, 2004 - December 17, 2004
LH ROSS & COMPANY, INC.
February 5, 2001 - June 18, 2004
FIRST MONTAUK SECURITIES CORP.
May 30, 2000 - March 22, 2001
J.W. BARCLAY & CO., INC.
November 2, 1999 - June 30, 2000
MONTROSE CAPITAL MANAGEMENT LTD.
December 1, 1998 - November 3, 1999
EMERSON BENNETT & ASSOCIATES
August 12, 1997 - November 10, 1998
J.P. TURNER & COMPANY, L.L.C.
June 2, 1997 - August 12, 1997
ARGENT SECURITIES, INC.
April 4, 1997 - June 3, 1997
FAS WEALTH MANAGEMENT SERVICES, INC.
December 20, 1996 - April 7, 1997
ARGENT SECURITIES, INC.
July 7, 1994 - January 1, 1997
J.W. BARCLAY & CO., INC.
December 10, 1993 - August 1, 1994
PARAGON CAPITAL MARKETS, INC.
April 5, 1993 - November 8, 1993
BLUESTONE CAPITAL CORP.
April 23, 1991 - April 16, 1993
GRUNTAL & CO., L.L.C.
June 6, 1989 - May 8, 1991
LEHMAN BROTHERS INC.
July 19, 1988 - June 19, 1989
CIBC WORLD MARKETS CORP.
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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