Gerald J. Cocuzzo
Professional summary
Gerald John Cocuzzo was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Gerald is a previously registered financial professional and started their career in finance in 2000. Prior to being barred, Gerald had worked at 8 firms, which includes NEWBRIDGE SECURITIES CORPORATION, IAA FINANCIAL LLC, GUNNALLEN FINANCIAL INC, AMERICA'S CHOICE EQUITIES LLC, J.P. TURNER & COMPANY L.L.C., LH ROSS & COMPANY INC., CONTINENTAL BROKER-DEALER CORP., SEABOARD SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 22, 2014 - May 3, 2016
NEWBRIDGE SECURITIES CORPORATION
September 18, 2009 - January 13, 2015
IAA FINANCIAL LLC
November 3, 2008 - October 2, 2009
GUNNALLEN FINANCIAL, INC
January 18, 2008 - December 11, 2008
AMERICA'S CHOICE EQUITIES LLC
December 1, 2004 - February 15, 2008
J.P. TURNER & COMPANY, L.L.C.
January 7, 2004 - December 17, 2004
LH ROSS & COMPANY, INC.
May 22, 2003 - January 21, 2004
CONTINENTAL BROKER-DEALER CORP.
April 22, 2002 - June 18, 2003
GUNNALLEN FINANCIAL, INC
March 22, 2000 - May 15, 2002
SEABOARD SECURITIES, 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 |
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