Master S. Mays
Professional summary
Master S Mays was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Master is a previously registered financial professional and started their career in finance in 2008. Prior to being barred, Master had worked at 4 firms, which includes NEWBRIDGE SECURITIES CORPORATION, EKN FINANCIAL SERVICES INC., JESUP & LAMONT SECURITIES CORP, J.P. TURNER & COMPANY L.L.C..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 3, 2011 - June 21, 2011
NEWBRIDGE SECURITIES CORPORATION
April 30, 2010 - March 4, 2011
EKN FINANCIAL SERVICES INC.
November 2, 2009 - April 21, 2010
JESUP & LAMONT SECURITIES CORP
September 24, 2008 - February 20, 2009
J.P. TURNER & COMPANY, L.L.C.
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 |
Red Flags
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