Richard J. Plevy
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Richard Jay Plevy was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1976. Richard had worked at 11 firms and has passed the Series 65, Series 63, Series 7, Series 52, Series 1 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 13, 2011 - March 6, 2012
NEWBRIDGE SECURITIES CORPORATION
February 15, 2005 - June 17, 2009
OPPENHEIMER & CO. INC.
January 20, 2000 - February 18, 2005
JANNEY MONTGOMERY SCOTT LLC
July 17, 1997 - January 20, 2000
JWGENESIS SECURITIES, INC.
May 13, 1992 - June 29, 1994
INVEST FINANCIAL CORPORATION
November 1, 1989 - May 13, 1992
MORGAN STANLEY DW INC.
October 30, 1989 - November 13, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 4, 1989 - November 7, 1989
KIDDER, PEABODY & CO. INCORPORATED
December 28, 1983 - January 10, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
October 28, 1981 - February 7, 1984
E. F. HUTTON & COMPANY INC
October 13, 1976 - October 16, 1981
J. B. HANAUER & CO.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 10/7/1976
Registered Representative ExaminationSeries 8
Date: 10/9/1989
General Securities Sales Supervisor Examination (Options Module & General Module)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
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.
