Leo N. Schaeferle
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.
Leo Nicholas Schaeferle, who also goes by Leo Nichalous Schaeferle, Nick Schaeferle, was a registered financial professional .
Leo is a previously registered financial professional and started their career in finance in 1990. Leo had worked at 7 firms and has passed the Series 63, SIE, Series 7, 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
October 26, 2001 - September 30, 2019
NEWBRIDGE SECURITIES CORPORATION
September 29, 2001 - October 30, 2001
LASALLE ST SECURITIES, L.L.C.
March 3, 1997 - October 1, 2001
EISNER SECURITIES, INC.
April 24, 1995 - April 1, 1997
JOHNSON RESEARCH & CAPITAL INCORPORATED
December 5, 1991 - April 27, 1995
JOSEPH CHARLES & ASSOC., INC.
July 16, 1991 - December 6, 1991
PARAGON CAPITAL MARKETS, INC.
April 24, 1990 - July 31, 1991
J. W. GANT & ASSOCIATES, 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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Check for any disclosures as part of your thorough research when choosing an advisor.
