2019061764901 Newbridge Securities Corporation CRD 104065 AWC lp (2023-1682554808154).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061764901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Newbridge Securities Corporation, Respondent Member Firm CRD No. 104065 Pursuant to FINRA Rule 9216, Respondent Newbridge Securities Corporation (Newbridge) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

CPM

Certified Portfolio Manager (CPM)

Designation Essentials
Status Currently offered and recognized by the issuing organization
Issuing Organization Academy of Certified Portfolio Managers
Qualification and Training Requirements
Prerequisites

Candidates must have:

  • a certificate, diploma or academic degree providing evidence of a four-year undergraduate degree;
  • three years of employment in the financial services industry; or
  • a letter of recommendation, for candidates already employed in the financial services industry, written by a supervisor.
Designation Training Requirements

Complete a self-study program, followed by an on-campus week at a university partner
Designation Exam Type

Online, proctored, closed-book course exams
Continuing Education Requirements

20 hours of CE credits per calendar year
Verification and Complaints
Online Designation Resource

Online at Member Directory Search
Investor Complaint Process

None
Published List of Disciplined Designees

None

Capital Markets & Securities Analyst

Capital Markets & Securities Analyst (CMSA)

Designation Essentials
Status Currently offered and recognized by the issuing organization
Issuing Organization Corporate Finance Institute
Qualification and Training Requirements
Prerequisites

None
Designation Training Requirements

Candidates must successfully complete eight core courses and a minimum of seven elective courses.
Designation Exam Type

Online, open-book course assessments and CMSA final exam
Continuing Education Requirements

None
Verification and Complaints
Online Designation Resource

None
Investor Complaint Process

None
Published List of Disciplined Designees

None

2020068495402 NatAlliance Securities, LLC CRD 39455 and Jason Adams CRD 2690575 AWC va (2023-1682554808013).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068495402 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: NatAlliance Securities, LLC (Respondent) Member Firm CRD No. 39455 Jason Adams (Respondent) General Securities Principal and General Securities Representative CRD No. 2690575 Pursuant to FINRA Rule 9216, Respondents NatAlliance Securities, LLC and Jason Adams submit this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Subscribe to