BR
Bryan S. Rathman
NFSG
NEW YORK, NY 10017
Some features on this profile are disabled
CRD#: 2315338
BR
Professional summary
Bryan Scott Rathman is a registered financial advisor currently at NFSG CORPORATION located in New York, New York and NEWBRIDGE SECURITIES CORPORATION located in New York, New York.
Bryan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Bryan has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
FIRST COLONIAL GROUP LLC(DBA) SENIOR VICE PRESIDENT OF INVESTMENTS, NEW YORK.
CRS (Client Relationship Summary) - RIA
Click below to view Bryan Scott Rathman's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 20, 2012 - Present
NFSG CORPORATION
Office #1: 211 East 43rd Street, New York, NY 10017RIA
CRD#: 130814
NEW YORK, NY
Current
December 9, 2011 - Present
NEWBRIDGE SECURITIES CORPORATION
Office #1: 211 East 43rd Street, Suite 1300, New York, NY 10017BD
CRD#: 104065
New York, NY
Past
November 24, 2008 - December 12, 2011
MAXIM GROUP LLC
BD
CRD#: 120708
NEW YORK, NY
Past
January 27, 1998 - November 24, 2008
EASTBROOK CAPITAL GROUP LLC
BD
CRD#: 39781
NEW YORK, NY
Past
January 12, 1996 - January 30, 1998
NICHOLS, SAFINA, LERNER & CO. INC.
BD
CRD#: 35476
NEW YORK, NY
Past
March 2, 1993 - February 1, 1995
H.J. MEYERS & CO., INC.
BD
CRD#: 15609
ROCHESTER, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
NC
NFSG CORPORATION
NEWBRIDGE FINANCIAL SERVICES GROUP, INC. | NFSG CORPORATION | NEWBRIDGE FINANCIAL SERVICES, INC.
CRD#: 130814 / SEC#: 801-68448
RIA
Registered Investment Advisory firm - (11/6/2007 Approved)Arizona
Registered Investment Advisory firm - (11/8/2007 Terminated)California
Registered Investment Advisory firm - (11/8/2007 Terminated)Connecticut
Registered Investment Advisory firm - (11/8/2007 Terminated)Florida
Registered Investment Advisory firm - (12/12/2007 Terminated)Illinois
Registered Investment Advisory firm - (11/6/2007 Terminated)Indiana
Registered Investment Advisory firm - (11/8/2007 Terminated)Nevada
Registered Investment Advisory firm - (12/17/2007 Terminated)New Jersey
Registered Investment Advisory firm - (11/14/2007 Terminated)North Carolina
Registered Investment Advisory firm - (11/8/2007 Terminated)Pennsylvania
Registered Investment Advisory firm - (11/13/2007 Terminated)Tennessee
Registered Investment Advisory firm - (12/8/2007 Terminated)Texas
Registered Investment Advisory firm - (11/8/2007 Terminated)Virginia
Registered Investment Advisory firm - (11/8/2007 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(3/12/2014)
RR
Arizona(12/13/2011)
RR
Arkansas(3/12/2014)
RR
California(12/13/2011)
RR
Colorado(12/15/2011)
RR
Connecticut(12/13/2011)
RR
Delaware(12/15/2011)
RR
Florida(1/11/2012)
IAR
Florida(1/20/2012)
RR
Georgia(12/14/2011)
RR
Hawaii(12/15/2011)
RR
Illinois(12/14/2011)
RR
Indiana(12/21/2011)
RR
Iowa(12/13/2011)
RR
Kansas(1/11/2012)
RR
Kentucky(12/14/2011)
RR
Louisiana(12/14/2011)
IAR
Louisiana(1/7/2019)
RR
Maryland(12/13/2011)
RR
Massachusetts(12/14/2011)
RR
Michigan(12/14/2011)
RR
Minnesota(12/13/2011)
RR
Mississippi(12/14/2011)
RR
Missouri(1/11/2012)
RR
Nebraska(12/13/2011)
RR
New Hampshire(1/11/2012)
RR
New Jersey(12/13/2011)
RR
New Mexico(12/15/2011)
RR
New York(12/9/2011)
IAR
New York(4/1/2021)
RR
North Carolina(12/13/2011)
RR
Ohio(1/4/2012)
RR
Oklahoma(12/14/2011)
RR
Pennsylvania(12/14/2011)
RR
Rhode Island(6/14/2013)
RR
South Carolina(3/14/2014)
RR
South Dakota(12/14/2011)
RR
Texas(12/13/2011)
IAR
Texas(1/7/2019)
RR
Utah(12/14/2011)
RR
Vermont(9/18/2013)
RR
Virginia(12/13/2011)
RR
Washington(12/21/2011)
RR
West Virginia(8/6/2013)
RR
Wisconsin(12/13/2011)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
NC
NFSG CORPORATION
NEWBRIDGE FINANCIAL SERVICES GROUP, INC. | NFSG CORPORATION | NEWBRIDGE FINANCIAL SERVICES, INC.
CRD#: 130814 / SEC#: 801-68448
RIA
Registered Investment Advisory firm - (11/6/2007 Approved)Arizona
Registered Investment Advisory firm - (11/8/2007 Terminated)California
Registered Investment Advisory firm - (11/8/2007 Terminated)Connecticut
Registered Investment Advisory firm - (11/8/2007 Terminated)Florida
Registered Investment Advisory firm - (12/12/2007 Terminated)Illinois
Registered Investment Advisory firm - (11/6/2007 Terminated)Indiana
Registered Investment Advisory firm - (11/8/2007 Terminated)Nevada
Registered Investment Advisory firm - (12/17/2007 Terminated)New Jersey
Registered Investment Advisory firm - (11/14/2007 Terminated)North Carolina
Registered Investment Advisory firm - (11/8/2007 Terminated)Pennsylvania
Registered Investment Advisory firm - (11/13/2007 Terminated)Tennessee
Registered Investment Advisory firm - (12/8/2007 Terminated)Texas
Registered Investment Advisory firm - (11/8/2007 Terminated)Virginia
Registered Investment Advisory firm - (11/8/2007 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1200 North Federal Highway Suite 400, Boca Raton, FL 33432
Mailing Address
Phone number
(954) 334-3450
Established
Firm type
Fiscal year end
# of Employees
89
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,587 |
| AUM (Assets Under Management) | $ 813,494,847 |
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.
