Jason M. Duhon
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.
Jason Martin Duhon was a registered financial professional .
Jason is a previously registered financial professional and started their career in finance in 1997. Jason had worked at 18 firms and has passed the Series 65, Series 63, SIE, Series 7 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
March 27, 2015 - April 20, 2015
NEWBRIDGE SECURITIES CORPORATION
September 11, 2014 - November 21, 2014
YIELD FINANCIAL ADVISORS
September 17, 2013 - December 13, 2013
CABOT LODGE SECURITIES LLC
September 26, 2012 - August 8, 2013
ALAMO CAPITAL
September 7, 2012 - August 8, 2013
ALAMO CAPITAL
October 24, 2011 - August 14, 2012
RETIREMENT DEPOT
October 11, 2011 - October 19, 2011
VALIC FINANCIAL ADVISORS, INC.
February 23, 2010 - August 31, 2011
U.S. BANCORP INVESTMENTS, INC.
February 22, 2010 - August 31, 2011
U.S. BANCORP INVESTMENTS, INC.
August 28, 2007 - March 1, 2010
KEY INVESTMENT SERVICES LLC
August 28, 2007 - March 1, 2010
KEY INVESTMENT SERVICES LLC
February 2, 2006 - July 6, 2007
CHASE INVESTMENT SERVICES CORP.
January 27, 2006 - July 6, 2007
CHASE INVESTMENT SERVICES CORP.
June 6, 2005 - December 12, 2005
FIRST WESTERN ADVISORS
June 3, 2005 - December 12, 2005
FIRST WESTERN ADVISORS
January 23, 2004 - July 14, 2005
THE HOUSEHOLDER GROUP, ESTATE & RETIREMENT SPECIALISTS
October 7, 2003 - June 10, 2005
SUNAMERICA SECURITIES, INC.
October 2, 2002 - November 6, 2003
ALLSTATE FINANCIAL SERVICES, LLC
January 17, 2002 - October 3, 2002
LPL FINANCIAL LLC
December 18, 2001 - October 3, 2002
LPL FINANCIAL LLC
January 31, 2001 - November 26, 2001
EDWARD JONES
February 25, 1998 - January 31, 2001
LOCUST STREET SECURITIES, INC.
April 16, 1997 - February 24, 1998
IDS LIFE INSURANCE COMPANY
April 16, 1997 - February 24, 1998
AMERIPRISE FINANCIAL SERVICES, 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
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.
