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RD

Richard B. Dorfman

NEWBRIDGE SECURITIES
BOCA RATON, FL 33432
Some features on this profile are disabled
CRD#: 2472079
RD
Richard Brian DorfmanNEWBRIDGE SECURITIES

Professional summary

Richard Brian Dorfman, who also goes by Richard B Dorfman, Rick Dorfman, Richard Brian Dorfman, is a registered financial professional currently at NEWBRIDGE SECURITIES CORPORATION located in Boca Raton, Florida.

Richard is registered as a RR (Registered Representative) and started their career in finance in 1995. Richard has worked at 24 firms and has passed the Series 66, Series 63, Series 52TO, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.

Aliases

Richard B Dorfman | Rick Dorfman | Richard Brian Dorfman

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Richard Brian Dorfman's CRS (Customer Relationship Summary).
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®
None

Experience

Current

August 10, 2026 - Present

NEWBRIDGE SECURITIES CORPORATION

Office #1: 1200 North Federal Highway Suite 400, Boca Raton, FL 33432
BD
CRD#: 104065
BOCA RATON, FL
Past

June 26, 2024 - January 28, 2026

MONEY CONCEPTS CAPITAL CORP

RIA
CRD#: 12963
PALM BEACH GARDENS, FL
Past

June 25, 2024 - January 28, 2026

MONEY CONCEPTS CAPITAL CORP

BD
CRD#: 12963
PALM BEACH GARDENS, FL
Past

December 6, 2023 - January 11, 2024

KOVACK ADVISORS, INC.

RIA
CRD#: 140808
Fort Lauderdale, FL
Past

December 4, 2023 - January 11, 2024

KOVACK SECURITIES INC.

BD
CRD#: 44848
FT. LAUDERDALE, FL
Past

February 27, 2023 - August 3, 2023

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA
CRD#: 288590
DELRAY BEACH, FL
Past

February 9, 2023 - July 19, 2023

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
SMITHFIELD, RI
Past

March 30, 2022 - December 6, 2022

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
ST. CLOUD, MN
Past

March 30, 2022 - December 6, 2022

CETERA FINANCIAL SPECIALISTS LLC

BD
CRD#: 10358
SCHAUMBURG, IL
Past

March 30, 2022 - December 6, 2022

CETERA ADVISORS LLC

BD
CRD#: 10299
GREENWOOD VILLAGE, CO
Past

August 20, 2021 - December 6, 2022

CETERA WEALTH SERVICES, LLC

RIA
CRD#: 13572
BOCA RATON, FL
Past

February 26, 2016 - December 6, 2022

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
BOCA RATON, FL
Past

January 19, 2016 - November 29, 2016

VSR FINANCIAL SERVICES, INC.

BD
CRD#: 14503
Boca Raton, FL
Past

December 3, 2015 - January 19, 2016

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
ST. CLOUD, MN
Past

December 3, 2015 - January 19, 2016

CETERA FINANCIAL SPECIALISTS LLC

BD
CRD#: 10358
SCHAUMBURG, IL
Past

December 3, 2015 - January 19, 2016

CETERA ADVISORS LLC

BD
CRD#: 10299
GREENWOOD VILLAGE, CO
Past

December 3, 2015 - January 19, 2016

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
EL SEGUNDO, CA
Past

December 3, 2015 - December 3, 2019

SUMMIT BROKERAGE SERVICES, INC.

BD
CRD#: 34643
BOCA RATON, FL
Past

March 3, 2014 - December 19, 2014

T3 TRADING GROUP, LLC

BD
CRD#: 154431
NEW YORK, NY
Past

May 21, 2013 - August 13, 2013

PNC WEALTH MANAGEMENT LLC

RIA
CRD#: 129052
BOYNTON BEACH, FL
Past

May 21, 2013 - August 13, 2013

PNC WEALTH MANAGEMENT LLC

BD
CRD#: 129052
BOYNTON BEACH, FL
Past

November 21, 2011 - March 20, 2013

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 111514
PONTE VEDRA BEACH, FL
Past

October 25, 2011 - March 20, 2013

TD AMERITRADE, INC.

RIA
CRD#: 7870
PONTE VEDRA BEACH, FL
Past

October 24, 2011 - March 20, 2013

TD AMERITRADE, INC.

BD
CRD#: 7870
PONTE VEDRA BEACH, FL
Past

August 10, 2010 - January 3, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
JACKSONVILLE, FL
Past

July 9, 2010 - January 3, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
JACKSONVILLE, FL
Past

November 11, 2003 - May 18, 2010

FIS BROKERAGE & SECURITIES SERVICES LLC

BD
CRD#: 104162
MIAMI, FL
Past

March 2, 2001 - November 24, 2003

BNY MELLON SECURITIES CORPORATION

BD
CRD#: 231
NEW YORK, NY
Past

July 23, 1999 - February 28, 2001

GRUNTAL & CO., L.L.C.

BD
CRD#: 372
NEW YORK, NY
Past

December 11, 1998 - March 2, 1999

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEW YORK, NY
Past

December 11, 1998 - March 2, 1999

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SPRINGFIELD, MA
Past

December 15, 1995 - April 1, 1996

LORD ABBETT DISTRIBUTOR LLC

BD
CRD#: 530
JERSEY CITY, NJ
Past

August 29, 1995 - November 10, 1995

UBS ASSET MANAGEMENT (US) INC.

BD
CRD#: 583
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Florida
(8/10/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/18/2021
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 2/18/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 4/5/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 12/7/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/16/2019
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

NS
NEWBRIDGE SECURITIES CORPORATION
LUDWIG INVESTMENTS, INC. | NEWBRIDGE SECURITIES CORPORATION | NEWBRIDGE SECURITIES CORP.

CRD#: 104065 / SEC#: , 8-52538

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
1200 North Federal Highway Suite 400, Boca Raton, FL 33432
Mailing Address
1200 North Federal Highway Suite 400, Boca Raton, FL 33432
Phone number
(954) 334-3450
Established
Virginia since 12/17/1997
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
NEWBRIDGE FINANCIAL INC.OWNER
BUDDIE, GIOVINA ANNFINOP/COO/ TREASURER/PRINCIPAL OPERATIONS OFFICER1997691
CASOLARO, THOMAS JOSEPHCO-CEO & CHAIRMAN1812805
CHAMPION, CHAD DANASENIOR MANAGING DIRECTOR, HEAD OF INVESTMENT BANKING AND EQUITY CAPITAL MARKETS3038162
ROBLES, VICTOR MANUELFINOP/CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER4490918
SPITLER, ROBERT PENDELTONCO-CEO/FINOP/CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER / CCO4050312

Disclosures

Regulatory Event33
Arbitration4

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.

Company Information

NEWBRIDGE SECURITIES CORPORATION

CRD#: 104065Boca Raton, FL 33432

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