TR
Thomas C. Re
NEWBRIDGE SECURITIES
New York, NY 10017
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CRD#: 6162076
TR
Professional summary
Thomas Charles Re is a registered financial professional currently at NEWBRIDGE SECURITIES CORPORATION located in New York, New York.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 2013. Thomas has worked at 1 firm and has passed the Series 63, SIE and Series 7 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Thomas Charles Re's 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®
NoneExperience
Current
February 20, 2013 - Present
NEWBRIDGE SECURITIES CORPORATION
Office #1: 211 East 43rd Street, Suite 1300, New York, NY 10017BD
CRD#: 104065
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
Alabama(1/17/2018)
RR
Alaska(1/16/2018)
RR
Arizona(1/3/2017)
RR
Arkansas(2/8/2019)
RR
California(6/16/2014)
RR
Colorado(2/5/2018)
RR
Florida(1/16/2018)
RR
Georgia(2/5/2018)
RR
Hawaii(2/8/2019)
RR
Idaho(8/27/2021)
RR
Illinois(2/5/2018)
RR
Iowa(2/5/2018)
RR
Kansas(1/17/2018)
RR
Kentucky(1/16/2018)
RR
Louisiana(2/5/2018)
RR
Massachusetts(1/16/2018)
RR
Michigan(1/16/2018)
RR
Minnesota(1/16/2018)
RR
Missouri(2/5/2018)
RR
Nebraska(1/16/2018)
RR
New Jersey(2/5/2018)
RR
New Mexico(1/4/2016)
RR
New York(3/4/2013)
RR
North Carolina(1/16/2018)
RR
Ohio(1/3/2017)
RR
Oregon(2/5/2018)
RR
Pennsylvania(1/16/2018)
RR
South Carolina(2/5/2018)
RR
Texas(1/4/2016)
RR
Utah(1/17/2018)
RR
Virginia(1/16/2018)
RR
Washington(1/16/2018)
RR
West Virginia(1/16/2018)
RR
Wisconsin(5/18/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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)
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.
