Louis K. Katogyritis
Professional summary
Louis Konstantinos Katogyritis was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Louis is a previously registered financial professional and started their career in finance in 1991. Prior to being barred, Louis had worked at 10 firms, which includes NEWBRIDGE SECURITIES CORPORATION, RUMSON CAPITAL LLC, GILFORD SECURITIES INCORPORATED, GRUNTAL & CO. L.L.C., JOSEPHTHAL & CO. INC., STUART COLEMAN & CO. INC., AMERIPRISE ADVISOR SERVICES INC., H.J. MEYERS & CO. INC., CHATFIELD DEAN & CO. INC., CIBC WORLD MARKETS CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 11, 2006 - December 12, 2008
NEWBRIDGE SECURITIES CORPORATION
December 6, 2001 - February 6, 2002
RUMSON CAPITAL, LLC
October 22, 2001 - December 7, 2001
GILFORD SECURITIES INCORPORATED
October 27, 1997 - November 1, 2001
GRUNTAL & CO., L.L.C.
July 18, 1995 - October 13, 1997
JOSEPHTHAL & CO., INC.
April 24, 1995 - June 20, 1995
STUART, COLEMAN & CO., INC.
August 19, 1994 - October 5, 1994
AMERIPRISE ADVISOR SERVICES, INC.
July 7, 1993 - May 23, 1994
H.J. MEYERS & CO., INC.
June 19, 1991 - April 7, 1992
CHATFIELD DEAN & CO., INC.
May 8, 1991 - May 21, 1991
CIBC WORLD MARKETS 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
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 |
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