Jerry Perlman
Professional summary
Jerry Perlman was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Jerry is a previously registered financial professional and started their career in finance in 1963. Prior to being barred, Jerry had worked at 13 firms, which includes NEWBRIDGE SECURITIES CORPORATION, CAPITAL GROWTH FINANCIAL LLC, NOBLE CAPITAL MARKETS INC., MORGAN STANLEY DW INC., GRUNTAL & CO. L.L.C., THOMSON MCKINNON SECURITIES INC., DREXEL BURNHAM LAMBERT INCORPORATED, L. F. ROTHSCHILD & CO. INCORPORATED, PRESCOTT BALL & TURBEN, L. M. ROSENTHAL & COMPANY INC., MACK BUSHNELL & EDELMAN INC., J D WINER & CO INC, HERTZ WARNER & CO..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 25, 2006 - March 10, 2009
NEWBRIDGE SECURITIES CORPORATION
June 19, 2002 - September 25, 2006
CAPITAL GROWTH FINANCIAL, LLC
December 12, 1995 - June 19, 2002
NOBLE CAPITAL MARKETS, INC.
October 21, 1993 - October 17, 1995
MORGAN STANLEY DW INC.
July 25, 1989 - October 12, 1993
GRUNTAL & CO., L.L.C.
March 17, 1978 - June 6, 1989
THOMSON MCKINNON SECURITIES INC.
September 26, 1977 - April 18, 1978
DREXEL BURNHAM LAMBERT INCORPORATED
April 26, 1976 - October 3, 1977
L. F. ROTHSCHILD & CO. INCORPORATED
December 11, 1975 - May 28, 1976
PRESCOTT, BALL & TURBEN
April 29, 1974 - January 3, 1976
L. M. ROSENTHAL & COMPANY, INC.
January 11, 1974 - April 18, 1974
MACK, BUSHNELL & EDELMAN, INC.
March 12, 1970 - January 11, 1974
J D WINER & CO INC
September 17, 1963 - March 25, 1971
HERTZ, WARNER & CO.
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
PC
Date: 10/6/1978
AMEX Put and Call ExamSeries 1
Date: 10/3/1961
Registered Representative ExaminationCurrent 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
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