Rosario Musico
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Rosario Musico, who also goes by Roy Musico, was a registered financial professional .
Rosario is a previously registered financial professional and started their career in finance in 2001. Rosario had worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 31, 2017 - July 18, 2018
NEWBRIDGE SECURITIES CORPORATION
May 22, 2017 - September 1, 2017
MML INVESTORS SERVICES, LLC
March 25, 2017 - September 1, 2017
MML INVESTORS SERVICES, LLC
November 20, 2015 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
November 6, 2015 - December 7, 2015
SPARTAN CAPITAL SECURITIES, LLC
August 20, 2013 - December 4, 2015
CRAIG SCOTT CAPITAL, LLC
May 21, 2010 - August 26, 2013
ROCKWELL GLOBAL CAPITAL LLC
April 10, 2008 - May 21, 2010
JHS CAPITAL ADVISORS, LLC
November 19, 2002 - January 21, 2003
WOODSTOCK FINANCIAL GROUP, INC.
May 15, 2001 - June 27, 2002
FIRST MONTAUK SECURITIES CORP.
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 |
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.
