Andre O. Morgan
Professional summary
Andre O'neil Morgan was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Andre is a previously registered financial professional and started their career in finance in 1999. Prior to being barred, Andre had worked at 6 firms, which includes NEWBRIDGE SECURITIES CORPORATION, CONTINENTAL BROKER-DEALER CORP., MILESTONE FINANCIAL SERVICES INC., KIMBERLY SECURITIES INC., LADENBURG CAPITAL MANAGEMENT INC., 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
August 28, 2003 - November 4, 2003
NEWBRIDGE SECURITIES CORPORATION
July 30, 2003 - August 22, 2003
CONTINENTAL BROKER-DEALER CORP.
September 16, 2002 - March 26, 2003
MILESTONE FINANCIAL SERVICES, INC.
February 19, 2002 - September 17, 2002
KIMBERLY SECURITIES, INC.
May 25, 2000 - August 6, 2001
LADENBURG CAPITAL MANAGEMENT INC.
August 30, 1999 - April 28, 2000
BUCKMAN, BUCKMAN & REID, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 62
Date: 8/28/1999
Corporate Securities Limited 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 |
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