Leon Mensah
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.
Leon Mensah MR., who also goes by Leon Mensah, was a registered financial professional .
Leon is a previously registered financial professional and started their career in finance in 2004. Leon had worked at 7 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 26, 2019 - May 15, 2019
NEWBRIDGE SECURITIES CORPORATION
March 22, 2019 - May 15, 2019
NFSG CORPORATION
May 16, 2017 - March 28, 2018
MML INVESTORS SERVICES, LLC
May 9, 2017 - March 28, 2018
MML INVESTORS SERVICES, LLC
October 15, 2014 - April 25, 2017
PRUCO SECURITIES, LLC.
September 10, 2014 - April 25, 2017
PRUCO SECURITIES, LLC.
December 15, 2010 - September 11, 2014
EQUITABLE ADVISORS, LLC
December 15, 2010 - September 11, 2014
EQUITABLE ADVISORS, LLC
May 16, 2006 - October 26, 2010
CUSO FINANCIAL SERVICES, L.P.
May 16, 2006 - October 26, 2010
CUSO FINANCIAL SERVICES, L.P.
November 29, 2004 - June 16, 2006
UBS FINANCIAL SERVICES INC.
November 3, 2004 - June 16, 2006
UBS FINANCIAL SERVICES INC.
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.
