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CB

Chris M. Bond

NEWBRIDGE SECURITIES
New York, NY 10017
Some features on this profile are disabled
CRD#: 5157326
CB

Professional summary

Chris Michael Bond is a registered financial professional currently at NEWBRIDGE SECURITIES CORPORATION located in New York, New York.

Chris is registered as a RR (Registered Representative) and started their career in finance in 2006. Chris has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Chris Michael Bond's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

December 12, 2011 - Present

NEWBRIDGE SECURITIES CORPORATION

Office #1: 211 East 43rd Street, Suite 1300, New York, NY 10017
BD
CRD#: 104065
New York, NY
Past

November 25, 2008 - December 12, 2011

MAXIM GROUP LLC

BD
CRD#: 120708
NEW YORK, NY
Past

July 24, 2006 - November 24, 2008

EASTBROOK CAPITAL GROUP LLC

BD
CRD#: 39781
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(10/11/2012)
RR
California
(1/4/2012)
RR
Connecticut
(1/4/2012)
RR
Illinois
(1/4/2012)
RR
Kentucky
(1/21/2015)
RR
Massachusetts
(1/4/2012)
RR
Michigan
(1/14/2013)
RR
Minnesota
(1/4/2012)
RR
New Jersey
(9/10/2014)
RR
New York
(12/12/2011)
RR
Ohio
(1/4/2012)
RR
Pennsylvania
(1/4/2012)
RR
South Carolina
(10/17/2012)
RR
Virginia
(8/1/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 7/24/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/14/2006
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

NS
NEWBRIDGE SECURITIES CORPORATION
LUDWIG INVESTMENTS, INC. | NEWBRIDGE SECURITIES CORPORATION | NEWBRIDGE SECURITIES CORP.

CRD#: 104065 / SEC#: , 8-52538

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
1200 North Federal Highway Suite 400, Boca Raton, FL 33432
Mailing Address
1200 North Federal Highway Suite 400, Boca Raton, FL 33432
Phone number
(954) 334-3450
Established
Virginia since 12/17/1997
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
NEWBRIDGE FINANCIAL INC.OWNER
BUDDIE, GIOVINA ANNFINOP/COO/ TREASURER/PRINCIPAL OPERATIONS OFFICER1997691
CASOLARO, THOMAS JOSEPHCO-CEO & CHAIRMAN1812805
CHAMPION, CHAD DANASENIOR MANAGING DIRECTOR, HEAD OF INVESTMENT BANKING AND EQUITY CAPITAL MARKETS3038162
ROBLES, VICTOR MANUELFINOP/CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER4490918
SLAVIK, RICHARD WAYNECHIEF COMPLIANCE OFFICER2122910
SPITLER, ROBERT PENDELTONCO-CEO/FINOP/CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER4050312

Disclosures

Regulatory Event33
Arbitration4

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

NEWBRIDGE SECURITIES CORPORATION

CRD#: 104065New York, NY 10017

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