Charles B. Wanyama

NEWBRIDGE SECURITIES

Boca Raton, FL 33432

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CRD#: 5310849

Professional summary

Charles Butali Wanyama, who also goes by Charles Butali Khaemba, Charles Khaemba Wanyama, is a registered financial professional currently at NEWBRIDGE SECURITIES CORPORATION located in Boca Raton, Florida.

Charles is registered as a RR (Registered Representative) and started their career in finance in 2008. Charles has worked at 2 firms and has passed the Series 66, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Charles Butali Khaemba | Charles Khaemba Wanyama

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 Charles Butali Wanyama'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

February 22, 2021 - Present

NEWBRIDGE SECURITIES CORPORATION

Office #1: 1200 North Federal Highway Suite 400, Boca Raton, FL 33432

CRD#: 104065

Boca Raton, FL

Past

February 1, 2008 - February 16, 2021

NATIONAL SECURITIES CORPORATION

CRD#: 7569

NEW YORK, NY

State Registrations and Notice Filings

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

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

New Jersey
(2/22/2021)

Exams

State Security Law Exam

IAR

Series 66

Date: 7/18/2008

Uniform Combined State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 4/5/2013

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 1/31/2008

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/4/2022

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

NEWBRIDGE SECURITIES CORPORATION

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

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

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)

Documents

Customer Relationship Summary (CRS / FINRA)

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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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Charles B. Wanyama

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Charles Butali Wanyama's CRS (Customer Relationship Summary).

Certified licenses

Experience

NATIONAL SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 66

Date: 7/18/2008

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 4/5/2013

Series 7

Date: 1/31/2008

Series 24

Date: 4/4/2022

FINRA

Nasdaq Stock Market

Current Firm

NEWBRIDGE SECURITIES CORPORATION

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

NEWBRIDGE SECURITIES CORPORATION

TRUST BUT VERIFY

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