Christopher A. Carra
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.
Christopher Andrew Carra, who also goes by Chris Carra, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1992. Christopher had worked at 9 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 15, 2005 - December 21, 2011
NEWBRIDGE SECURITIES CORPORATION
January 2, 2002 - August 30, 2005
OPPENHEIMER & CO. INC.
August 15, 2000 - January 2, 2002
PRIME CHARTER LTD.
September 12, 1996 - August 14, 2000
GKN SECURITIES CORP.
August 9, 1996 - August 14, 1996
GKN SECURITIES CORP.
September 26, 1995 - September 9, 1996
STATE CAPITAL MARKETS CORPORATION
November 16, 1994 - September 29, 1995
FIRST ASSET MANAGEMENT, INC.
March 24, 1993 - December 22, 1994
RUSSO SECURITIES INC.
September 16, 1992 - March 22, 1993
U.S. SECURITIES CLEARING CORP.
April 20, 1992 - August 28, 1992
CHATFIELD DEAN & CO., 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 |
| 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
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