Ronald S. Mendoza
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.
Ronald Silvestre Mendoza, who also goes by Ronald Mendoza, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1989. Ronald had worked at 8 firms and has passed the Series 63, SIE 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
August 17, 2017 - March 3, 2022
NEWBRIDGE SECURITIES CORPORATION
June 10, 2016 - August 17, 2017
FINANCIAL WEST GROUP
June 25, 2008 - August 17, 2017
FINANCIAL WEST GROUP
September 2, 2004 - July 1, 2008
THE SHEMANO GROUP, INC.
October 21, 1998 - September 3, 2004
KIRLIN SECURITIES INC.
November 1, 1993 - October 5, 1998
H.J. MEYERS & CO., INC.
September 4, 1990 - October 12, 1993
WELLS FARGO CLEARING SERVICES, LLC
February 27, 1990 - September 4, 1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
February 18, 1989 - February 8, 1990
J.P. MORGAN SECURITIES LLC
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 |
| SPITLER, ROBERT PENDELTON | CO-CEO/FINOP/CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER / CCO | 4050312 |
Disclosures
| Regulatory Event | 33 |
| Arbitration | 4 |
Red Flags
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