Jeffrey S. Hart
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.
Jeffrey Scott Hart was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1993. Jeffrey had worked at 13 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
March 19, 2007 - June 18, 2007
NEWBRIDGE SECURITIES CORPORATION
October 26, 2006 - March 16, 2007
SANDGRAIN SECURITIES LLC
August 26, 2005 - November 3, 2006
GREAT EASTERN SECURITIES, INC.
September 17, 2002 - August 25, 2005
WESTROCK ADVISORS, INC.
January 22, 2002 - September 27, 2002
HAPOALIM SECURITIES USA, INC.
November 6, 2001 - January 30, 2002
AEGIS CAPITAL CORP.
December 7, 1999 - November 2, 2001
HD BROUS & CO., INC.
October 25, 1999 - December 3, 1999
WORLDCO, L.L.C.
February 17, 1999 - November 4, 1999
J.P. MORGAN SECURITIES LLC
January 18, 1995 - February 24, 1999
TUCKER ANTHONY INCORPORATED
October 6, 1994 - February 2, 1995
JOSEPHTHAL & CO., INC.
December 8, 1993 - June 29, 1995
D. BLECH & COMPANY, INCORPORATED
May 27, 1993 - June 29, 1993
REICH & 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
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.
