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TL

Todd J. Lamberty

NEWBRIDGE SECURITIES
SIOUX FALLS, SD 57105
CRD#: 4155573
Some features on this profile are disabled
TL
Todd James LambertyNEWBRIDGE SECURITIES

Professional summary

Todd James Lamberty, who also goes by Todd J Lamberty, is a registered financial professional currently at NEWBRIDGE SECURITIES CORPORATION located in Sioux Falls, South Dakota.

Todd is registered as a RR (Registered Representative) and started their career in finance in 2000. Todd has worked at 5 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Todd J Lamberty

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Todd James Lamberty's CRS (Customer Relationship Summary).
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®
None

Experience

Current

July 24, 2018 - Present

NEWBRIDGE SECURITIES CORPORATION

Office #1: It Financial 4120 S. Elmwood Place, Sioux Falls, SD 57105
BD
CRD#: 104065
SIOUX FALLS, SD
Past

May 6, 2013 - July 20, 2018

QUESTAR CAPITAL CORPORATION

BD
CRD#: 43100
SIOUX FALLS, SD
Past

July 17, 2008 - May 9, 2013

WOODBURY FINANCIAL SERVICES, INC.

BD
CRD#: 421
SIOUX FALLS, SD
Past

November 11, 2003 - July 22, 2008

WALNUT STREET SECURITIES, INC.

BD
CRD#: 15840
SIOUX FALLS, SD
Past

March 22, 2000 - November 18, 2003

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
DES MOINES, IA

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
Arizona
(1/12/2022)
RR
Florida
(12/15/2023)
RR
Iowa
(7/30/2018)
RR
Minnesota
(7/30/2018)
RR
Mississippi
(2/26/2019)
RR
South Dakota
(7/24/2018)
RR
Tennessee
(1/11/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 3/24/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 3/20/2000
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

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)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
NEWBRIDGE FINANCIAL INC.OWNER
BUDDIE, GIOVINA ANNFINOP/COO/ TREASURER/PRINCIPAL OPERATIONS OFFICER1997691
CASOLARO, THOMAS JOSEPHCO-CEO & CHAIRMAN1812805
CHAMPION, CHAD DANASENIOR MANAGING DIRECTOR, HEAD OF INVESTMENT BANKING AND EQUITY CAPITAL MARKETS3038162
ROBLES, VICTOR MANUELFINOP/CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER4490918
SPITLER, ROBERT PENDELTONCO-CEO/FINOP/CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER / CCO4050312

Disclosures

Regulatory Event33
Arbitration4

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.

Company Information

NEWBRIDGE SECURITIES CORPORATION

CRD#: 104065Sioux Falls, SD 57105

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