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BO

Brian E. Owens

NEWBRIDGE SECURITIES
Boca Raton, FL 33432
Some features on this profile are disabled
CRD#: 2753041
BO

Professional summary

Brian Edward Owens is a registered financial professional currently at NEWBRIDGE SECURITIES CORPORATION located in Boca Raton, Florida.

Brian is registered as a RR (Registered Representative) and started their career in finance in 1996. Brian has worked at 13 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Brian Edward Owens's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

August 3, 2015 - Present

NEWBRIDGE SECURITIES CORPORATION

Office #1: 1200 North Federal Highway Suite 400, Boca Raton, FL 33432
BD
CRD#: 104065
Boca Raton, FL
Past

November 19, 2014 - July 31, 2015

VCS VENTURE SECURITIES

BD
CRD#: 127921
Boca Raton, FL
Past

March 18, 2013 - November 17, 2014

AEGIS CAPITAL CORP.

BD
CRD#: 15007
BOCA RATON, FL
Past

January 14, 2013 - March 7, 2013

BURNHAM SECURITIES INC.

BD
CRD#: 22549
BOCA RATON, FL
Past

February 15, 2012 - January 17, 2013

MEDITERRANEAN SECURITIES GROUP, LLC

BD
CRD#: 153755
COCONUT CREEK, FL
Past

January 24, 2012 - February 22, 2012

SUMMIT BROKERAGE SERVICES, INC.

BD
CRD#: 34643
BOCA RATON, FL
Past

September 27, 2011 - January 25, 2012

MEDITERRANEAN SECURITIES GROUP, LLC

BD
CRD#: 153755
COCONUT CREEK, FL
Past

January 11, 2010 - September 28, 2011

OPPENHEIMER & CO. INC.

BD
CRD#: 249
BOCA RATON, FL
Past

March 23, 2009 - December 31, 2009

FINTEGRA, LLC

BD
CRD#: 16741
BOCA RATON, FL
Past

February 15, 2008 - March 17, 2009

SANDERS MORRIS LLC

BD
CRD#: 20580
BOCA RATON, FL
Past

February 12, 2008 - February 12, 2008

NEWBRIDGE SECURITIES CORPORATION

BD
CRD#: 104065
BOCA RATON, FL
Past

July 6, 2001 - February 8, 2008

CAPITAL GROWTH FINANCIAL, LLC

BD
CRD#: 41040
BOCA RATON, FL
Past

April 5, 2001 - July 6, 2001

DALTON KENT SECURITIES GROUP, INC.

BD
CRD#: 38813
NEW YORK, NY
Past

August 31, 1998 - April 11, 2001

FAS WEALTH MANAGEMENT SERVICES, INC.

BD
CRD#: 10164
SARASOTA, FL
Past

December 6, 1996 - August 31, 1998

BILTMORE SECURITIES, INC.

BD
CRD#: 25023
FT. LAUDERDALE, FL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(8/3/2015)
RR
California
(8/3/2015)
RR
Florida
(8/3/2015)
RR
Georgia
(8/24/2022)
RR
Michigan
(8/3/2015)
RR
Nebraska
(8/3/2015)
RR
New Jersey
(4/26/2017)
RR
New York
(8/3/2015)
RR
North Carolina
(8/3/2015)

Exams

State Security Law Exam
RR
Series 63
Date: 12/11/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/21/1996
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

NS
NEWBRIDGE SECURITIES CORPORATION
LUDWIG INVESTMENTS, INC. | NEWBRIDGE SECURITIES CORPORATION | NEWBRIDGE SECURITIES CORP.

CRD#: 104065 / SEC#: , 8-52538

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
1200 North Federal Highway Suite 400, Boca Raton, FL 33432
Mailing Address
1200 North Federal Highway Suite 400, Boca Raton, FL 33432
Phone number
(954) 334-3450
Established
Virginia since 12/17/1997
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
NEWBRIDGE FINANCIAL INC.OWNER
BUDDIE, GIOVINA ANNFINOP/COO/ TREASURER/PRINCIPAL OPERATIONS OFFICER1997691
CASOLARO, THOMAS JOSEPHCO-CEO & CHAIRMAN1812805
CHAMPION, CHAD DANASENIOR MANAGING DIRECTOR, HEAD OF INVESTMENT BANKING AND EQUITY CAPITAL MARKETS3038162
ROBLES, VICTOR MANUELFINOP/CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER4490918
SLAVIK, RICHARD WAYNECHIEF COMPLIANCE OFFICER2122910
SPITLER, ROBERT PENDELTONCO-CEO/FINOP/CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER4050312

Disclosures

Regulatory Event33
Arbitration4

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

NEWBRIDGE SECURITIES CORPORATION

CRD#: 104065Boca Raton, FL 33432

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