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
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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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