Bert E. Gore
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.
Bert Elwood Gore JR was a registered financial professional .
Bert is a previously registered financial professional and started their career in finance in 1977. Bert had worked at 14 firms and has passed the Series 63, SIE, PC, Series 12 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 21, 2017 - January 10, 2018
NEWBRIDGE SECURITIES CORPORATION
November 15, 2016 - November 1, 2017
FALCON SQUARE CAPITAL, LLC
August 2, 2016 - September 20, 2016
INTERCOASTAL CAPITAL MARKETS, INC.
December 1, 2014 - July 1, 2016
ROSS, SINCLAIRE & ASSOCIATES, LLC
April 2, 2007 - November 26, 2014
STERNE, AGEE & LEACH, INC.
March 7, 2003 - March 29, 2007
RBC CAPITAL MARKETS, LLC
April 8, 1991 - March 25, 1992
BROADWAY FINANCIAL INVESTMENT SERVICES CORP.
April 8, 1991 - March 7, 2003
FIRST INSTITUTIONAL SECURITIES, L.L.C.
January 31, 1990 - March 25, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 19, 1989 - December 5, 1989
HALPERT AND COMPANY, INC.
April 26, 1988 - September 19, 1989
J. B. HANAUER & CO.
October 15, 1987 - April 13, 1988
JERSEY CAPITAL MARKETS GROUP INC.
April 30, 1986 - October 7, 1987
GLICKENHAUS & CO.
February 9, 1977 - April 19, 1986
GLICKENHAUS & CO. - NEW JERSEY
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
PC
Date: 2/23/1990
AMEX Put and Call ExamSeries 12
Date: 12/2/2003
NYSE Branch Manager ExaminationSeries 40
Date: 12/2/1977
Registered Principal ExaminationCurrent 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.
