Brian A. Bond
Professional summary
Brian Andrew Bond was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Brian is a previously registered financial professional and started their career in finance in 1991. Prior to being barred, Brian had worked at 8 firms, which includes NEWBRIDGE SECURITIES CORPORATION, PAULSON INVESTMENT COMPANY LLC, SCHNEIDER SECURITIES INC., INVESTORS ASSOCIATES INC., FAIRCHILD FINANCIAL GROUP INC., J. GREGORY & COMPANY INC., CHATFIELD DEAN & CO. INC., STRATTON OAKMONT INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 12, 2006 - May 8, 2012
NEWBRIDGE SECURITIES CORPORATION
May 30, 2002 - September 12, 2006
PAULSON INVESTMENT COMPANY LLC
July 21, 1997 - May 31, 2002
SCHNEIDER SECURITIES, INC.
March 27, 1995 - June 19, 1997
INVESTORS ASSOCIATES, INC.
September 19, 1994 - April 24, 1995
FAIRCHILD FINANCIAL GROUP, INC.
November 1, 1993 - September 26, 1994
J. GREGORY & COMPANY, INC.
September 11, 1992 - September 24, 1993
CHATFIELD DEAN & CO., INC.
September 23, 1991 - September 10, 1992
STRATTON OAKMONT 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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