William J. Walker
Professional summary
William James Walker was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
William is a previously registered financial professional and started their career in finance in 1988. Prior to being barred, William had worked at 15 firms, which includes NEWBRIDGE SECURITIES CORPORATION, WFG INVESTMENTS INC., SCHNEIDER SECURITIES INC., SIGNATOR INVESTORS INC., PRESTON LANGLEY ASSET MANAGEMENT INC., RUSSO SECURITIES INC., U.S. SECURITIES CLEARING CORP., FIRST ASSET MANAGEMENT INC., FIRST CHOICE SECURITIES CORP., MALONE & ASSOCIATES INC., MLB INVESTMENTS LTD., VANDERBILT SECURITIES INC., SOUTH RICHMOND SECURITIES INC., J. T. MORAN & CO. INC., FIRST FIDELITY CAPITAL CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 15, 2008 - January 13, 2009
NEWBRIDGE SECURITIES CORPORATION
September 3, 2002 - August 15, 2008
WFG INVESTMENTS, INC.
September 5, 1997 - August 30, 2002
SCHNEIDER SECURITIES, INC.
July 7, 1997 - October 14, 1997
SIGNATOR INVESTORS, INC.
May 12, 1995 - April 24, 1997
PRESTON LANGLEY ASSET MANAGEMENT, INC.
March 24, 1993 - May 5, 1995
RUSSO SECURITIES INC.
October 5, 1992 - March 22, 1993
U.S. SECURITIES CLEARING CORP.
May 27, 1992 - October 15, 1992
FIRST ASSET MANAGEMENT, INC.
December 24, 1990 - April 13, 1992
FIRST CHOICE SECURITIES CORP.
September 5, 1990 - November 30, 1990
MALONE & ASSOCIATES, INC.
April 27, 1990 - September 11, 1990
MLB INVESTMENTS, LTD.
February 7, 1990 - May 3, 1990
VANDERBILT SECURITIES, INC.
February 6, 1990 - February 8, 1990
SOUTH RICHMOND SECURITIES, INC.
November 8, 1988 - February 27, 1990
J. T. MORAN & CO., INC.
April 19, 1988 - November 22, 1988
FIRST FIDELITY CAPITAL 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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