Steven R. Perlstein
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.
Steven Richard Perlstein, who also goes by Steve Perlstein, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1992. Steven had worked at 11 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 3, Series 55, Series 7, Series 14, Series 30, Series 27, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 27, 2023 - November 8, 2023
NEWBRIDGE SECURITIES CORPORATION
March 23, 2006 - May 10, 2021
SYNAPSE BROKERAGE LLC
April 4, 2003 - February 3, 2004
A.B. WATLEY, INC.
January 3, 2001 - April 1, 2003
GRACE FINANCIAL GROUP LLC
September 21, 1999 - April 7, 2000
RUMSON CAPITAL, LLC
August 6, 1996 - June 10, 1998
JOSEPH CHARLES & ASSOC., INC.
January 16, 1996 - August 14, 1996
BILTMORE SECURITIES, INC.
May 15, 1995 - February 10, 1996
GKN SECURITIES CORP.
April 6, 1995 - June 16, 1995
MORGENTHAU & ASSOCIATES, INC.
March 28, 1994 - November 25, 1994
UBS FINANCIAL SERVICES INC.
January 18, 1994 - April 7, 1994
FIRST AFFILIATED SECURITIES
March 17, 1992 - February 17, 1994
JOSEPH CHARLES & ASSOC., 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
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 8/15/2000
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 |
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.
