Brent K. Deviney
Professional summary
Brent Keith Deviney was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Brent is a previously registered financial advisor and started their career in finance in 1992. Prior to being barred, Brent had worked at 4 firms, which includes NEWBRIDGE SECURITIES CORPORATION, NEW ENGLAND SECURITIES, EQUITY SERVICES INC., LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 11, 2006 - February 1, 2012
NEWBRIDGE SECURITIES CORPORATION
October 24, 2002 - April 27, 2006
NEW ENGLAND SECURITIES
September 30, 1997 - October 24, 2002
EQUITY SERVICES, INC.
June 14, 1993 - September 24, 1997
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
July 30, 1992 - October 24, 2002
EQUITY SERVICES, 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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