Randall S. Humphrey
Professional summary
Randall Scott Humphrey was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Randall is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Randall had worked at 9 firms, which includes NEWBRIDGE SECURITIES CORPORATION, FFEC WEALTH PARTNERS LLC, JOSEPH CHARLES & ASSOC. INC., CITIGROUP GLOBAL MARKETS INC., LEHMAN BROTHERS INC., PRUDENTIAL EQUITY GROUP LLC, CHELSEA STREET SECURITIES INC., AMERICAN FRONTEER FINANCIAL CORPORATION, THE STUART-JAMES COMPANY INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 3, 2003 - September 12, 2005
NEWBRIDGE SECURITIES CORPORATION
October 21, 1998 - October 22, 2003
FFEC WEALTH PARTNERS LLC
August 21, 1996 - September 28, 1998
JOSEPH CHARLES & ASSOC., INC.
July 31, 1993 - August 15, 1996
CITIGROUP GLOBAL MARKETS INC.
November 24, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
July 15, 1992 - September 3, 1992
PRUDENTIAL EQUITY GROUP, LLC
August 13, 1991 - June 11, 1992
CHELSEA STREET SECURITIES, INC.
April 26, 1990 - August 14, 1991
AMERICAN FRONTEER FINANCIAL CORPORATION
December 14, 1987 - May 10, 1990
THE STUART-JAMES COMPANY, INCORPORATED
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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