Michael L. Serota
Professional summary
Michael Lewis Serota was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Michael is a previously registered financial advisor and started their career in finance in 1993. Prior to being barred, Michael had worked at 5 firms, which includes NEWBRIDGE SECURITIES CORPORATION, RAYMOND JAMES & ASSOCIATES INC., GRUNTAL & CO. L.L.C., GKN SECURITIES CORP., CIBC WORLD MARKETS CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 18, 2011 - March 25, 2011
NEWBRIDGE SECURITIES CORPORATION
November 5, 1999 - March 23, 2011
RAYMOND JAMES & ASSOCIATES, INC.
November 5, 1999 - March 23, 2011
RAYMOND JAMES & ASSOCIATES, INC.
February 17, 1998 - November 10, 1999
GRUNTAL & CO., L.L.C.
June 12, 1997 - February 25, 1998
GKN SECURITIES CORP.
April 7, 1993 - June 30, 1997
GRUNTAL & CO., L.L.C.
January 20, 1993 - April 20, 1993
CIBC WORLD MARKETS CORP.
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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