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WB

Willie J. Brice

Some features on this profile are disabled
CRD#: 4327266
WB

Professional summary

Willie James Brice JR was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Willie James Brice JR, who also goes by Bill Brice, Willie James Brice, was a registered financial advisor .

Willie is a previously registered financial advisor and started their career in finance in 2001. Willie had worked at 4 firms and has passed the Series 65, Series 63, Series 7, Series 9 and Series 10 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bill Brice | Willie James Brice

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 23, 2008 - December 23, 2008

NEWBRIDGE SECURITIES CORPORATION

BD
CRD#: 104065
FT. LAUDERDALE, FL
Past

April 2, 2007 - June 12, 2008

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
BOCA RATON, FL
Past

April 2, 2007 - June 12, 2008

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
BOCA RATON, FL
Past

October 5, 2004 - April 2, 2007

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
BOCA RATON, FL
Past

September 10, 2004 - April 2, 2007

MORGAN STANLEY DW INC.

BD
CRD#: 7556
BOCA RATON, FL
Past

May 2, 2003 - September 23, 2004

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
BOCA RATON, FL
Past

January 25, 2001 - September 23, 2004

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 4/10/2001
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/30/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 1/24/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 9/12/2005
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 8/14/2005
General Securities Sales Supervisor - General Module Examination

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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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.

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Company Information

NEWBRIDGE SECURITIES CORPORATION

CRD#: 104065

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