Lawrence G. Freedman
Professional summary
Lawrence Guy Freedman was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Lawrence Guy Freedman, who also goes by Larry Freedman, Lawrence Freedman, was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1979. Lawrence had worked at 12 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 13, 2017 - November 28, 2017
NEWBRIDGE SECURITIES CORPORATION
April 17, 2015 - October 16, 2017
WELLS FARGO CLEARING SERVICES, LLC
April 17, 2015 - October 16, 2017
WELLS FARGO CLEARING SERVICES, LLC
June 1, 2009 - April 27, 2015
MORGAN STANLEY
June 1, 2009 - April 27, 2015
MORGAN STANLEY
April 17, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
April 17, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
July 1, 2003 - April 22, 2008
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - April 22, 2008
WELLS FARGO CLEARING SERVICES, LLC
February 21, 2001 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
February 16, 2001 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
July 31, 1993 - March 6, 2001
CITIGROUP GLOBAL MARKETS INC.
June 15, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
December 21, 1989 - June 12, 1992
UBS FINANCIAL SERVICES INC.
October 12, 1987 - December 20, 1989
CIBC WORLD MARKETS CORP.
January 14, 1985 - October 8, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 11, 1983 - December 27, 1984
CIBC WORLD MARKETS CORP.
March 5, 1982 - October 20, 1983
PRUDENTIAL EQUITY GROUP, LLC
July 7, 1980 - March 25, 1982
THOMSON MCKINNON SECURITIES INC.
November 26, 1979 - July 12, 1980
LEHMAN BROTHERS INC.
January 29, 1979 - November 26, 1979
LOEB PARTNERS
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
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