Glen D. Delaney
Professional summary
Glen Derek Delaney was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Glen is a previously registered financial professional and started their career in finance in 2005. Prior to being barred, Glen had worked at 8 firms, which includes NEWBRIDGE SECURITIES CORPORATION, CRAIG SCOTT CAPITAL LLC, VCS VENTURE SECURITIES, ROCKWELL GLOBAL CAPITAL LLC, BROOKSTONE SECURITIES INC., GLOBAL ARENA CAPITAL CORP, JHS CAPITAL ADVISORS LLC, GUNNALLEN FINANCIAL INC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 5, 2015 - March 26, 2018
NEWBRIDGE SECURITIES CORPORATION
August 7, 2015 - November 9, 2015
CRAIG SCOTT CAPITAL, LLC
June 30, 2015 - August 17, 2015
VCS VENTURE SECURITIES
April 13, 2012 - June 25, 2015
ROCKWELL GLOBAL CAPITAL LLC
October 14, 2010 - April 13, 2012
BROOKSTONE SECURITIES, INC.
June 22, 2009 - October 12, 2010
GLOBAL ARENA CAPITAL CORP
December 17, 2005 - June 22, 2009
JHS CAPITAL ADVISORS, LLC
June 27, 2005 - December 20, 2005
GUNNALLEN FINANCIAL, INC
State Registrations and Notice Filings
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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 |
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