Howard Leon
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.
Howard Leon was a registered financial professional .
Howard is a previously registered financial professional and started their career in finance in 1992. Howard had worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 23, 2020 - July 20, 2021
NEWBRIDGE SECURITIES CORPORATION
July 10, 2017 - April 24, 2020
STOEVER, GLASS & COMPANY INC.
October 30, 2015 - July 21, 2017
NATIONAL SECURITIES CORPORATION
July 22, 2011 - November 10, 2015
UBS FINANCIAL SERVICES INC.
January 5, 2009 - July 26, 2011
OPPENHEIMER & CO. INC.
February 10, 2003 - January 27, 2009
HERBERT J. SIMS & CO, INC.
April 29, 2002 - February 27, 2003
RYAN BECK & CO.
June 11, 2001 - May 20, 2002
GRUNTAL & CO., L.L.C.
January 20, 2000 - July 16, 2001
JANNEY MONTGOMERY SCOTT LLC
October 9, 1997 - January 31, 2000
PRUDENTIAL EQUITY GROUP, LLC
January 15, 1992 - October 10, 1997
FMSBONDS, 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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
