Charles H. Brown
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.
Charles Hyman Brown was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1978. Charles had worked at 18 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 26, 2005 - December 31, 2014
NEWBRIDGE SECURITIES CORPORATION
January 10, 2002 - June 10, 2005
WINDSOR STREET CAPITAL, LP
November 19, 2001 - January 7, 2002
SANDS BROTHERS & CO., LTD.
August 31, 2001 - November 26, 2001
BLUESTONE CAPITAL CORP.
April 27, 1990 - August 31, 2001
SSI SECURITIES CORP.
November 20, 1989 - May 8, 1990
HERZOG, HEINE, GEDULD, LLC
January 16, 1989 - November 29, 1989
COMMVEST SECURITIES,INC.
November 22, 1988 - January 20, 1989
INTERNATIONAL ASSETS ADVISORY, LLC
November 6, 1987 - November 8, 1988
MARGARETTEN SECURITIES CORPORATION
October 20, 1983 - December 19, 1983
ABRAHAM SECURITIES CORPORATION
September 13, 1982 - December 1, 1983
ENEX SECURITIES CORPORATION
April 26, 1982 - August 27, 1987
HUBERMAN SECURITIES CORP.
December 17, 1980 - October 22, 1981
IPG SECURITIES CORPORATION
January 31, 1980 - October 23, 1980
UBS FINANCIAL SERVICES INC.
January 28, 1980 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
August 10, 1979 - January 5, 1980
PETRO-LEWIS SECURITIES CORPORATION
June 6, 1979 - December 22, 1987
E. F. HUTTON & COMPANY INC
November 1, 1978 - July 23, 1979
BLYTH EASTMAN DILLON & CO. INCORPORATED
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
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.
