Gail H. Smith
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.
Gail Heather Smith was a registered financial advisor .
Gail is a previously registered financial advisor and started their career in finance in 1990. Gail had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 55, Series 3, Series 53, Series 28, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 19, 2015 - December 3, 2015
NEWBRIDGE SECURITIES CORPORATION
August 11, 2005 - November 6, 2006
AMERICAN VALUE ADVISORS GROUP
May 26, 2005 - March 27, 2006
AMERICAN EAGLE SECURITIES, INC.
May 21, 2004 - July 19, 2004
K.W. BROWN INVESTMENTS
March 9, 2004 - April 27, 2004
CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC.
June 18, 2002 - June 29, 2002
CHANNEL POINT PARTNERS
December 18, 2001 - January 14, 2002
AMERIVET SECURITIES, INC.
July 13, 2001 - December 18, 2001
WOLVERTON SECURITIES (USA), LTD.
August 31, 1990 - December 24, 1990
KOBER FINANCIAL 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
Series 55
Date: 4/16/2002
Limited Representative-Equity Trader ExamSeries 28
Date: 5/28/2002
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent 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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Check for any disclosures as part of your thorough research when choosing an advisor.
