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AB

Alan H. Birkley

NEWBRIDGE SECURITIES
Boca Raton, FL 33432
Some features on this profile are disabled
CRD#: 829088
AB

Professional summary

Alan Henry Birkley is a registered financial professional currently at NEWBRIDGE SECURITIES CORPORATION located in Boca Raton, Florida.

Alan is registered as a RR (Registered Representative) and started their career in finance in 1976. Alan has worked at 11 firms and has passed the Series 63, SIE, PC and Series 7 exams.

top-8-questions

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) - BD

Click below to view Alan Henry Birkley'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

October 22, 2008 - Present

NEWBRIDGE SECURITIES CORPORATION

Office #1: 1200 North Federal Highway Suite 400, Boca Raton, FL 33432
BD
CRD#: 104065
Boca Raton, FL
Past

December 17, 2003 - October 22, 2008

CHICAGO INVESTMENT GROUP, LLC

BD
CRD#: 11853
CHICAGO, IL
Past

June 19, 2001 - December 31, 2003

PEREGRINE FINANCIALS & SECURITIES, INC.

BD
CRD#: 43992
CHICAGO, IL
Past

July 2, 1999 - June 21, 2001

D H BRUSH & ASSOCIATES, INC.

BD
CRD#: 3667
CHICAGO, IL
Past

March 15, 1998 - May 4, 1999

SHEPHERD FINANCIAL GROUP, LLC

BD
CRD#: 38689
VERNON HILLS, IL
Past

August 30, 1995 - February 20, 1998

PRINCIPAL FINANCIAL SECURITIES,INC.

BD
CRD#: 260
DALLAS, TX
Past

August 6, 1990 - August 24, 1995

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

December 11, 1987 - August 8, 1990

RODMAN & RENSHAW INC.

BD
CRD#: 724
CHICAGO, IL
Past

October 9, 1986 - November 17, 1987

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
Past

December 8, 1976 - October 16, 1986

FINANCIAL SQUARE PARTNERS

BD
CRD#: 1541
Past

October 22, 1976 - December 15, 1976

AMERIPRISE ADVISOR SERVICES, INC.

BD
CRD#: 5979

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
Arizona
(1/23/2023)
RR
California
(6/2/2015)
RR
Florida
(10/23/2008)
RR
Illinois
(10/23/2008)
RR
Michigan
(10/27/2008)
RR
Nevada
(2/6/2018)
RR
New Jersey
(10/23/2008)
RR
North Carolina
(8/31/2020)
RR
Virginia
(1/5/2023)
RR
Washington
(8/21/2017)
RR
Wisconsin
(1/2/2009)

Exams

State Security Law Exam
RR
Series 63
Date: 12/12/1986
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
PC
Date: 8/24/1987
AMEX Put and Call Exam
General Industry/Product Exam
RR
Series 7
Date: 10/16/1976
General Securities Representative Examination
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)

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
SLAVIK, RICHARD WAYNECHIEF COMPLIANCE OFFICER2122910
SPITLER, ROBERT PENDELTONCO-CEO/FINOP/CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER4050312

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#: 104065Boca Raton, FL 33432

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