James W. Ignatowich
Professional summary
James Walter Ignatowich was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
James is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, James had worked at 6 firms, which includes NEWBRIDGE SECURITIES CORPORATION, INVESTORS CAPITAL CORP., EASTBROOK CAPITAL GROUP LLC, PRIME CHARTER LTD., JANNEY MONTGOMERY SCOTT LLC, BLUESTONE CAPITAL CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 28, 2014 - March 1, 2016
NEWBRIDGE SECURITIES CORPORATION
December 5, 2008 - March 27, 2014
INVESTORS CAPITAL CORP.
October 3, 2000 - December 8, 2008
EASTBROOK CAPITAL GROUP LLC
November 24, 1997 - October 2, 2000
PRIME CHARTER LTD.
May 7, 1997 - December 12, 1997
JANNEY MONTGOMERY SCOTT LLC
March 18, 1996 - May 30, 1997
BLUESTONE CAPITAL CORP.
July 15, 1994 - March 29, 1996
PRIME CHARTER LTD.
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 |
| 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 |
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