Edmond J. Harris
Professional summary
Edmond John Harris was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Edmond is a previously registered financial professional and started their career in finance in 1968. Prior to being barred, Edmond had worked at 12 firms, which includes NEWBRIDGE SECURITIES CORPORATION, LADENBURG THALMANN & CO. INC., LADENBURG CAPITAL MANAGEMENT INC., ROTH CAPITAL PARTNERS LLC, RODMAN & RENSHAW INC., LEHMAN BROTHERS INC., MORGAN STANLEY DW INC., DREXEL BURNHAM LAMBERT INCORPORATED, BECKER PARIBAS INCORPORATED, JEFFERIES LLC, RAUSCHER PIERCE REFSNES INC., BATEMAN EICHLER HILL RICHARDS INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 13, 2014 - November 21, 2014
NEWBRIDGE SECURITIES CORPORATION
November 20, 2002 - November 11, 2014
LADENBURG THALMANN & CO. INC.
October 31, 2001 - November 20, 2002
LADENBURG CAPITAL MANAGEMENT INC.
August 5, 1998 - March 22, 2002
LADENBURG THALMANN & CO. INC.
March 1, 1996 - July 10, 1998
ROTH CAPITAL PARTNERS, LLC
December 2, 1994 - February 14, 1996
RODMAN & RENSHAW INC.
December 4, 1987 - October 18, 1994
LEHMAN BROTHERS INC.
October 7, 1985 - November 17, 1987
MORGAN STANLEY DW INC.
August 31, 1984 - October 11, 1985
DREXEL BURNHAM LAMBERT INCORPORATED
February 21, 1984 - September 28, 1984
BECKER PARIBAS INCORPORATED
July 27, 1982 - February 21, 1984
JEFFERIES LLC
September 5, 1975 - June 10, 1982
RAUSCHER PIERCE REFSNES, INC.
September 24, 1968 - October 22, 1975
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
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
PC
Date: 10/9/1991
AMEX Put and Call ExamSeries 000
Date: 10/1/1962
General Securities Principal ExaminationSeries 1
Date: 2/8/1962
Registered Representative ExaminationCurrent 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.
