RL
Richard J. Libretti
NEWBRIDGE SECURITIES
Morristown, NJ 07960
Some features on this profile are disabled
CRD#: 3240542
RL
Professional summary
Richard Jae Libretti is a registered financial professional currently at NEWBRIDGE SECURITIES CORPORATION located in Morristown, New Jersey.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1999. Richard has worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Richard Jae Libretti's 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®
NoneExperience
Current
April 7, 2017 - Present
NEWBRIDGE SECURITIES CORPORATION
Office #1: 15 Cattano Avenue Chancery Square, Morristown, NJ 07960BD
CRD#: 104065
Morristown, NJ
Past
April 5, 2013 - April 13, 2017
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
MORRISTOWN, NJ
Past
October 14, 2011 - April 9, 2013
B. RILEY WEALTH MANAGEMENT
BD
CRD#: 2543
MORRISTOWN, NJ
Past
April 30, 2008 - October 19, 2011
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
MORRISTOWN, NJ
Past
September 23, 2005 - April 30, 2008
JOSEPH STEVENS & CO., INC.
BD
CRD#: 35459
OLD BRIDGE, NJ
Past
April 17, 2001 - September 28, 2005
WILLIAM SCOTT & CO. L.L.C.
BD
CRD#: 14979
UNION, NJ
Past
August 31, 1999 - April 16, 2001
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
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(4/17/2017)
RR
Alaska(4/19/2017)
RR
Arizona(4/12/2017)
RR
Arkansas(6/7/2017)
RR
California(4/12/2017)
RR
Colorado(4/12/2017)
RR
Connecticut(4/17/2017)
RR
Delaware(4/17/2017)
RR
District of Columbia(4/12/2017)
RR
Florida(4/12/2017)
RR
Georgia(4/12/2017)
RR
Hawaii(6/7/2017)
RR
Idaho(4/19/2017)
RR
Illinois(4/12/2017)
RR
Indiana(4/12/2017)
RR
Iowa(4/17/2017)
RR
Kansas(4/17/2017)
RR
Kentucky(6/26/2017)
RR
Louisiana(4/17/2017)
RR
Maryland(4/12/2017)
RR
Massachusetts(4/18/2017)
RR
Michigan(4/12/2017)
RR
Minnesota(4/12/2017)
RR
Mississippi(4/17/2017)
RR
Missouri(4/17/2017)
RR
Montana(5/1/2017)
RR
Nebraska(4/17/2017)
RR
Nevada(4/17/2017)
RR
New Hampshire(5/17/2017)
RR
New Jersey(4/7/2017)
RR
New Mexico(4/17/2017)
RR
New York(4/12/2017)
RR
North Carolina(4/12/2017)
RR
North Dakota(4/19/2017)
RR
Ohio(4/12/2017)
RR
Oklahoma(4/18/2017)
RR
Oregon(4/17/2017)
RR
Pennsylvania(4/12/2017)
RR
Puerto Rico(5/1/2017)
RR
Rhode Island(8/3/2017)
RR
South Carolina(4/17/2017)
RR
South Dakota(7/18/2017)
RR
Tennessee(4/12/2017)
RR
Texas(4/12/2017)
RR
Utah(4/12/2017)
RR
Vermont(4/19/2017)
RR
Virgin Islands(8/14/2017)
RR
Virginia(4/12/2017)
RR
Washington(4/20/2017)
RR
West Virginia(4/17/2017)
RR
Wisconsin(4/12/2017)
RR
Wyoming(4/19/2017)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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)
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.
