Mitchell S. Biernick
Professional summary
Mitchell Scott Biernick was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Mitchell is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, Mitchell had worked at 8 firms, which includes NEWBRIDGE SECURITIES CORPORATION, ARIVE CAPITAL MARKETS, J.P. TURNER & COMPANY L.L.C., AMERICAN CAPITAL PARTNERS LLC, MILESTONE FINANCIAL SERVICES INC., HAPOALIM SECURITIES USA INC., ROYCE INVESTMENT GROUP INC., KENSINGTON WELLS INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 23, 2022 - March 16, 2022
NEWBRIDGE SECURITIES CORPORATION
July 31, 2015 - December 10, 2021
ARIVE CAPITAL MARKETS
June 27, 2005 - August 4, 2015
J.P. TURNER & COMPANY, L.L.C.
August 6, 2002 - July 26, 2005
AMERICAN CAPITAL PARTNERS, LLC
February 15, 2002 - August 6, 2002
MILESTONE FINANCIAL SERVICES, INC.
October 29, 1999 - March 5, 2002
HAPOALIM SECURITIES USA, INC.
October 24, 1996 - October 29, 1999
ROYCE INVESTMENT GROUP, INC.
July 31, 1996 - November 19, 1996
KENSINGTON WELLS INCORPORATED
February 12, 1996 - August 13, 1996
ROYCE INVESTMENT GROUP, 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
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