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JV

Joseph M. Valenti

Some features on this profile are disabled
CRD#: 6113405
JV

Professional summary

Joseph Mark Valenti was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Joseph is a previously registered financial professional and started their career in finance in 2013. Prior to being barred, Joseph had worked at 9 firms, which includes NEWBRIDGE SECURITIES CORPORATION, REID & RUDIGER LLC, PHX FINANCIAL INC., FIRST STANDARD FINANCIAL COMPANY LLC, LEGEND SECURITIES INC., WINDSOR STREET CAPITAL LP, ALLIED MILLENNIAL PARTNERS LLC, MCBARRON CAPITAL LLC, HENNION & WALSH INC..

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 17, 2019 - March 4, 2020

NEWBRIDGE SECURITIES CORPORATION

BD
CRD#: 104065
NEW YORK, NY
Past

June 8, 2018 - December 27, 2018

NEWBRIDGE SECURITIES CORPORATION

BD
CRD#: 104065
NEW YORK, NY
Past

June 28, 2017 - April 30, 2018

REID & RUDIGER LLC

BD
CRD#: 47263
NEW YORK, NY
Past

June 28, 2016 - January 4, 2017

PHX FINANCIAL, INC.

BD
CRD#: 144403
NEW YORK, NY
Past

February 17, 2016 - May 13, 2016

FIRST STANDARD FINANCIAL COMPANY LLC

BD
CRD#: 168340
STATEN ISLAND, NY
Past

October 20, 2015 - February 19, 2016

LEGEND SECURITIES, INC.

BD
CRD#: 44952
New York, NY
Past

March 20, 2015 - October 20, 2015

WINDSOR STREET CAPITAL, LP

BD
CRD#: 34171
NEW YORK, NY
Past

July 29, 2014 - April 15, 2015

ALLIED MILLENNIAL PARTNERS, LLC

BD
CRD#: 16569
NEW YORK, NY
Past

September 9, 2013 - July 28, 2014

MCBARRON CAPITAL LLC

BD
CRD#: 131431
NEW YORK, NY
Past

August 26, 2013 - September 5, 2013

HENNION & WALSH, INC.

BD
CRD#: 25766
PARSIPPANY, NJ

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/11/2013
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: 8/23/2013
General Securities Representative Examination

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
SPITLER, ROBERT PENDELTONCO-CEO/FINOP/CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER / CCO4050312

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.

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

Company Information

NEWBRIDGE SECURITIES CORPORATION

CRD#: 104065

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