Gregg M. Berger
Professional summary
Gregg Ms Berger was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Gregg is a previously registered financial professional and started their career in finance in 1991. Prior to being barred, Gregg had worked at 7 firms, which includes NEWBRIDGE SECURITIES CORPORATION, SCOTTSDALE CAPITAL ADVISORS CORP, CAPITAL GROWTH FINANCIAL LLC, GILFORD SECURITIES INCORPORATED, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, CITIGROUP GLOBAL MARKETS INC., LEHMAN BROTHERS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 1, 2011 - February 2, 2011
NEWBRIDGE SECURITIES CORPORATION
February 13, 2008 - February 1, 2011
SCOTTSDALE CAPITAL ADVISORS CORP
May 31, 2006 - February 8, 2008
CAPITAL GROWTH FINANCIAL, LLC
January 28, 2002 - June 2, 2006
GILFORD SECURITIES INCORPORATED
March 20, 1999 - January 23, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 31, 1993 - February 25, 1999
CITIGROUP GLOBAL MARKETS INC.
December 13, 1991 - July 31, 1993
LEHMAN BROTHERS 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 |
| SPITLER, ROBERT PENDELTON | CO-CEO/FINOP/CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER / CCO | 4050312 |
Disclosures
| Regulatory Event | 33 |
| Arbitration | 4 |
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