John R. Boatright
Professional summary
John Richard Boatright was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
John is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, John had worked at 8 firms, which includes NEWBRIDGE SECURITIES CORPORATION, SUMMIT BROKERAGE SERVICES INC., J.P. TURNER & COMPANY L.L.C., ARGENT SECURITIES INC., BARRON CHASE SECURITIES INC., FIRST COLONIAL SECURITIES, PACIFIC CORTEZ SECURITIES INCORPORATED, JOSEPH CHARLES & ASSOC. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 7, 2016 - May 28, 2019
NEWBRIDGE SECURITIES CORPORATION
September 22, 2015 - September 2, 2016
SUMMIT BROKERAGE SERVICES, INC.
August 12, 1997 - December 4, 2015
J.P. TURNER & COMPANY, L.L.C.
June 30, 1995 - August 12, 1997
ARGENT SECURITIES, INC.
April 21, 1995 - September 26, 1995
BARRON CHASE SECURITIES, INC.
February 1, 1995 - April 21, 1995
FIRST COLONIAL SECURITIES
December 9, 1994 - February 8, 1995
PACIFIC CORTEZ SECURITIES INCORPORATED
November 16, 1994 - December 9, 1994
JOSEPH CHARLES & ASSOC., INC.
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 |
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