Joseph M. Genzone
Professional summary
Joseph Mario Genzone was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Joseph is a previously registered financial professional and started their career in finance in 1991. Prior to being barred, Joseph had worked at 8 firms, which includes NEWBRIDGE SECURITIES CORPORATION, JAW TRADING LLC, STG SECURE TRADING GROUP INC., RUMSON CAPITAL LLC, SCHONFELD SECURITIES LLC, GKN SECURITIES CORP., A.S. GOLDMEN & CO. INC., SALOMON BROTHERS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 4, 2007 - March 26, 2008
NEWBRIDGE SECURITIES CORPORATION
July 7, 2006 - October 6, 2006
JAW TRADING, LLC
November 1, 2002 - January 29, 2003
STG SECURE TRADING GROUP, INC.
August 22, 2002 - October 24, 2002
RUMSON CAPITAL, LLC
July 9, 1998 - August 15, 2002
SCHONFELD SECURITIES, LLC
October 29, 1992 - June 5, 1997
GKN SECURITIES CORP.
November 11, 1991 - November 5, 1992
A.S. GOLDMEN & CO., INC.
July 29, 1991 - November 7, 1991
SALOMON BROTHERS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 55
Date: 6/16/1999
Limited Representative-Equity Trader ExamCurrent 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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