Alfred J. Botello
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.
Alfred Joseph Botello, who also goes by Alfred Jose Botello, Alfredo J Botello, was a registered financial professional .
Alfred is a previously registered financial professional and started their career in finance in 1994. Alfred had worked at 13 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
April 28, 2004 - August 17, 2004
NEWBRIDGE SECURITIES CORPORATION
January 27, 2004 - April 26, 2004
LH ROSS & COMPANY, INC.
January 23, 2004 - February 4, 2004
FRANKLIN ROSS, INC.
August 17, 1999 - January 18, 2001
YOUR DISCOUNT BROKER, INC.
June 30, 1999 - July 29, 1999
CONTINENTAL BROKER-DEALER CORP.
March 13, 1999 - June 22, 1999
FRANKLIN ROSS, INC.
July 30, 1997 - August 6, 1997
FIRST LIBERTY INVESTMENT GROUP, INC.
April 10, 1997 - June 25, 1997
MERIT CAPITAL ASSOCIATES, INC.
December 11, 1996 - March 13, 1997
THE HAMILTON-SHEA GROUP, INC.
July 15, 1996 - October 19, 1996
JOSEPH ROBERTS & CO., INC.
May 1, 1996 - July 16, 1996
FIRST ASSOCIATED SECURITIES GROUP, INC.
May 18, 1995 - May 14, 1996
EURO-ATLANTIC SECURITIES INC.
May 8, 1995 - May 26, 1995
PARAGON CAPITAL MARKETS, INC.
March 1, 1995 - March 20, 1995
PARAGON CAPITAL MARKETS, INC.
May 25, 1994 - December 13, 1994
BILTMORE SECURITIES, 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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
