Steven M. Wisniewski
Professional summary
Steven Michael Wisniewski was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Steven Michael Wisniewski was a registered financial advisor .
Steven is a previously registered financial advisor and started their career in finance in 1991. Steven had worked at 11 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 21, 2015 - December 23, 2016
NEWBRIDGE SECURITIES CORPORATION
March 13, 2013 - May 20, 2015
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
November 16, 2012 - May 20, 2015
CAMBRIDGE INVESTMENT RESEARCH, INC.
September 21, 2011 - November 28, 2012
RIDGEWAY & CONGER, INC.
July 14, 2003 - September 22, 2011
J.P. TURNER & COMPANY, L.L.C.
November 23, 1999 - July 31, 2003
WOODSTOCK FINANCIAL GROUP, INC.
September 11, 1997 - November 19, 1999
SUNPOINT SECURITIES, INC.
January 17, 1996 - August 14, 1997
BOLTON GLOBAL CAPITAL
October 4, 1994 - December 5, 1995
H.J. MEYERS & CO., INC.
September 12, 1994 - September 20, 1994
L.C. WEGARD & CO., INC.
February 4, 1991 - August 23, 1994
HIBBARD BROWN & CO., 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 |
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