JO
Joel S. Ostrow
NEWBRIDGE SECURITIES
Boca Raton, FL 33432
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CRD#: 4238161
JO
Professional summary
Joel Steven Ostrow is a registered financial professional currently at NEWBRIDGE SECURITIES CORPORATION located in Boca Raton, Florida.
Joel is registered as a RR (Registered Representative) and started their career in finance in 2000. Joel has worked at 4 firms and has passed the Series 63, SIE and Series 62 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 Joel Steven Ostrow'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 16, 2020 - Present
NEWBRIDGE SECURITIES CORPORATION
Office #1: 1200 North Federal Highway Suite 400, Boca Raton, FL 33432BD
CRD#: 104065
Boca Raton, FL
Past
June 18, 2007 - March 26, 2020
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
BOCA RATON, FL
Past
May 8, 2006 - June 8, 2007
BROOKSHIRE SECURITIES CORPORATION
BD
CRD#: 44347
FT. LAUDERDALE, FL
Past
January 23, 2002 - April 28, 2006
NEWBRIDGE SECURITIES CORPORATION
BD
CRD#: 104065
FT. LAUDERDALE, FL
Past
October 3, 2000 - January 23, 2002
PREFERRED SECURITIES GROUP, INC.
BD
CRD#: 35704
BOCA RATON, FL
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(5/5/2020)
RR
Florida(4/16/2020)
RR
Georgia(5/18/2020)
RR
Hawaii(5/5/2020)
RR
Indiana(3/17/2021)
RR
Kansas(5/5/2020)
RR
Massachusetts(6/4/2020)
RR
Missouri(1/27/2025)
RR
North Carolina(4/29/2020)
RR
Ohio(5/5/2020)
RR
Texas(5/18/2020)
RR
Wisconsin(5/5/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 9/9/2000
Corporate Securities Limited Representative ExaminationSRO 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.
Company Information
NEWBRIDGE SECURITIES CORPORATION
CRD#: 104065Boca Raton, FL 33432TRUST BUT VERIFY
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