Anil I. Jethmal
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Anil Ishwar Jethmal, who also goes by Anil I Jethmal, Anil Jethmal, was a registered financial professional .
Anil is a previously registered financial professional and started their career in finance in 1988. Anil had worked at 11 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 24, 2011 - February 26, 2021
NEWBRIDGE SECURITIES CORPORATION
July 25, 2008 - March 24, 2011
SUMMIT BROKERAGE SERVICES, INC.
August 12, 2004 - July 28, 2008
WESTROCK ADVISORS, INC.
July 30, 2002 - August 10, 2004
DPEC CAPITAL, INC.
February 20, 2001 - August 14, 2002
GILFORD SECURITIES INCORPORATED
April 7, 1999 - March 15, 2001
SOLID ISG CAPITAL MARKETS, LLC
May 2, 1997 - March 17, 1999
R.D. WHITE & CO., INC.
July 28, 1994 - August 27, 1996
NICHOLS, SAFINA, LERNER & CO. INC.
July 31, 1993 - June 21, 1994
CITIGROUP GLOBAL MARKETS INC.
August 11, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
February 15, 1989 - August 18, 1992
GRUNTAL & CO., L.L.C.
May 25, 1988 - March 7, 1989
LEHMAN BROTHERS 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 |
Red Flags
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