Steven Koifman
Professional summary
Steven Koifman was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Steven is a previously registered financial professional and started their career in finance in 1999. Prior to being barred, Steven had worked at 5 firms, which includes NEWBRIDGE SECURITIES CORPORATION, GLOBAL PARTNERS SECURITIES INC., PROGRAM TRADING CORP., LH ROSS & COMPANY INC., BARRON CHASE SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 18, 2004 - March 26, 2008
NEWBRIDGE SECURITIES CORPORATION
March 15, 2004 - October 4, 2004
GLOBAL PARTNERS SECURITIES INC.
October 29, 2002 - September 12, 2003
PROGRAM TRADING CORP.
February 5, 2002 - October 16, 2002
PROGRAM TRADING CORP.
November 20, 2001 - March 6, 2002
LH ROSS & COMPANY, INC.
September 18, 2000 - November 13, 2000
BARRON CHASE SECURITIES, INC.
April 12, 1999 - September 20, 2000
PROGRAM TRADING CORP.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 55
Date: 3/8/2002
Limited Representative-Equity Trader ExamCurrent 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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