Dennis P. Sweenor
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Dennis Patrick Sweenor was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1995. Dennis had worked at 6 firms and has passed the Series 63, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 14, 2002 - August 5, 2002
NEWBRIDGE SECURITIES CORPORATION
June 22, 2001 - April 25, 2002
STERLING FINANCIAL INVESTMENT GROUP, INC.
May 14, 2001 - June 21, 2001
NEWBRIDGE SECURITIES CORPORATION
May 22, 2000 - May 7, 2001
CLEARING SERVICES OF AMERICA, INC.
August 25, 1999 - May 25, 2000
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
February 24, 1999 - September 3, 1999
BAXTER BANKS & SMITH, LTD.
March 25, 1996 - January 2, 1997
PRUCO SECURITIES, LLC.
July 26, 1995 - October 9, 1995
PRUCO SECURITIES, LLC.
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 |
Red Flags
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