Shawn P. Arlauckas
Professional summary
Shawn Paul Arlauckas was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Shawn is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Shawn had worked at 5 firms, which includes NEWBRIDGE SECURITIES CORPORATION, CETERA WEALTH SERVICES LLC, GUNNALLEN FINANCIAL INC, FIRST MONTAUK SECURITIES CORP., BUCKMAN BUCKMAN & REID INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 1, 2007 - July 14, 2008
NEWBRIDGE SECURITIES CORPORATION
December 5, 2005 - February 20, 2007
CETERA WEALTH SERVICES, LLC
August 26, 2003 - November 18, 2005
GUNNALLEN FINANCIAL, INC
September 27, 2001 - August 27, 2003
FIRST MONTAUK SECURITIES CORP.
November 12, 1997 - October 5, 2001
BUCKMAN, BUCKMAN & REID, 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.
Check for any disclosures as part of your thorough research when choosing an advisor.
