Daniel J. Derfel
Professional summary
Daniel Josef Derfel, who also goes by Daniel Josef Derfel 0, is a registered financial professional currently at NEWBRIDGE SECURITIES CORPORATION located in New York, New York.
Daniel is registered as a RR (Registered Representative) and started their career in finance in 2001. Daniel has worked at 5 firms and has passed the Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Daniel Josef Derfel's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 27, 2022 - Present
NEWBRIDGE SECURITIES CORPORATION
Office #1: 211 East 43rd Street, Suite 1300, New York, NY 10017July 2, 2014 - May 18, 2017
AEGIS CAPITAL CORP.
April 24, 2007 - August 6, 2014
ROCKWELL SECURITIES LLC
February 27, 2007 - April 30, 2007
ANDREW GARRETT INC.
October 18, 2002 - March 1, 2007
S.W. BACH & COMPANY
May 18, 2001 - September 24, 2002
S.W. BACH & COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/13/2023)
(7/15/2022)
(3/26/2024)
(4/17/2023)
(7/21/2022)
(8/2/2022)
(5/19/2023)
(1/12/2023)
(3/28/2024)
(1/17/2023)
(8/1/2022)
(3/25/2024)
(1/12/2023)
(6/21/2022)
(11/13/2023)
(1/12/2023)
(2/2/2023)
(4/14/2023)
(2/7/2023)
(7/15/2022)
(2/7/2024)
Exams
Series 7TO
Date: 5/27/2022
General Securities Representative ExaminationFINRA
Nasdaq Stock Market
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
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