David K. Hirschman
Professional summary
David Kolman Hirschman was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
David is a previously registered financial professional and started their career in finance in 1973. Prior to being barred, David had worked at 8 firms, which includes NEWBRIDGE SECURITIES CORPORATION, JANNEY MONTGOMERY SCOTT LLC, MORGAN STANLEY DW INC., RAYMOND JAMES & ASSOCIATES INC., UBS FINANCIAL SERVICES INC., CIBC WORLD MARKETS CORP., MERRILL LYNCH PIERCE FENNER & SMITH INC., BACHE & CO INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 24, 2003 - June 21, 2006
NEWBRIDGE SECURITIES CORPORATION
August 20, 1999 - February 25, 2003
JANNEY MONTGOMERY SCOTT LLC
June 18, 1998 - September 9, 1999
MORGAN STANLEY DW INC.
March 3, 1993 - June 18, 1998
RAYMOND JAMES & ASSOCIATES, INC.
February 14, 1990 - February 18, 1993
UBS FINANCIAL SERVICES INC.
May 18, 1976 - March 8, 1990
CIBC WORLD MARKETS CORP.
February 3, 1975 - June 27, 1976
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
June 13, 1973 - February 27, 1975
BACHE & CO 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: 5/27/1977
AMEX Put and Call ExamSeries 1
Date: 6/11/1973
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
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