Craig S. Balsam
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.
Craig Stuart Balsam, who also goes by Craig Balsam, was a registered financial professional .
Craig is a previously registered financial professional and started their career in finance in 1995. Craig had worked at 10 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 30, 2006 - December 31, 2011
NEWBRIDGE SECURITIES CORPORATION
February 19, 2004 - May 25, 2006
GREENWICH GLOBAL, LLC
January 16, 2002 - February 6, 2004
DPEC CAPITAL, INC.
July 11, 2001 - January 16, 2002
BROADBAND CAPITAL MANAGEMENT, LLC
November 15, 2000 - July 12, 2001
DALTON KENT SECURITIES GROUP, INC.
March 14, 2000 - December 8, 2000
GENEVA CAPITAL CORP.
July 30, 1999 - March 21, 2000
GRADY AND HATCH & COMPANY, INC.
February 10, 1998 - June 30, 1998
AMERICAN FREEDOM SECURITIES, INC.
February 26, 1997 - November 19, 1997
GLOBAL EQUITIES GROUP INC
November 15, 1995 - March 6, 1997
STERLING FOSTER & COMPANY, 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 |
| 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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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