James K. Cox
Professional summary
James Keith Cox was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
James Keith Cox, who also goes by J Keith Cox, Keith Cox, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1993. James had worked at 11 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6 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
October 8, 2018 - April 22, 2026
NEWBRIDGE SECURITIES CORPORATION
January 8, 2018 - April 22, 2026
NFSG CORPORATION
July 7, 2015 - April 26, 2017
STIFEL, NICOLAUS & COMPANY, INCORPORATED
July 7, 2015 - April 26, 2017
STIFEL, NICOLAUS & COMPANY, INCORPORATED
March 26, 2009 - July 7, 2015
INTL ADVISORY CONSULTANTS INC.
March 26, 2009 - July 7, 2015
STERNE, AGEE & LEACH, INC.
February 4, 2008 - March 26, 2009
STANFORD GROUP COMPANY
February 4, 2008 - March 26, 2009
STANFORD GROUP COMPANY
March 20, 2006 - February 15, 2008
RAYMOND J. LUCIA COMPANIES, INC.
July 14, 2004 - April 18, 2006
RJL FINANCIAL NETWORK, L.L.C.
June 7, 2004 - February 5, 2008
SECURITIES AMERICA ADVISORS, INC.
March 20, 1997 - February 5, 2008
SECURITIES AMERICA, INC.
August 24, 1993 - March 12, 1997
FSC SECURITIES CORPORATION
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 |
| SPITLER, ROBERT PENDELTON | CO-CEO/FINOP/CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER / CCO | 4050312 |
Disclosures
| Regulatory Event | 33 |
| Arbitration | 4 |
Red Flags
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