Daniel L. Nardone
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.
Daniel L Nardone was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1999. Daniel had worked at 8 firms and has passed the Series 65, Series 63, Series 7, Series 10, Series 53 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
September 24, 2007 - February 7, 2008
NEWBRIDGE SECURITIES CORPORATION
September 22, 2005 - June 27, 2012
NARDONE WEALTH MANAGEMENT LLC
February 28, 2005 - December 19, 2005
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 10, 2005 - December 19, 2005
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 28, 2004 - March 22, 2005
FIRST ALLIED SECURITIES, INC.
October 7, 2003 - April 29, 2004
CITIGROUP GLOBAL MARKETS INC.
September 29, 2003 - April 29, 2004
CITIGROUP GLOBAL MARKETS INC.
September 4, 2002 - October 6, 2003
QUICK & REILLY, INC.
May 22, 2002 - October 6, 2003
QUICK & REILLY, INC.
October 19, 2001 - May 10, 2002
WAMU INVESTMENTS, INC.
July 7, 1999 - July 11, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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.
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