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Current Employers
Nfsg Corporation

1200 North Federal Highway Suite 400, Boca Raton, FL 33432 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2019-12-11
  • IL RA
    APPROVED
    Since 2019-12-11

Branch Locations

1200 North Federal Highway Suite 400, Boca Raton, FL 33432 • United States

1205 W Main, Robinson, IL 62454 • United States

Disclosures

4 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Edward Jones St Louis MO 04/2003 03/2018
Cabot Lodge Securities Llc New York NY 09/2019 11/2019
Newbridge Securities Corporation Robinson IL 11/2019 Present
Ifs Securities Robinson IL 03/2018 09/2019
  • 04/2003 → 03/2018
    St Louis, MO
  • 09/2019 → 11/2019
    Cabot Lodge Securities Llc
    New York, NY
  • 11/2019 → Present
    Newbridge Securities Corporation
    Robinson, IL
  • 03/2018 → 09/2019
    Ifs Securities
    Robinson, IL
Previous Registrations
Other Businesses

INSURANCE: INSURANCE AGENT/INSURANCE SALES.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-02-24
S63 Uniform Securities Agent State Law Examination 2003-06-19
  • S66 Uniform Combined State Law Examination
    2007-02-24
  • S63 Uniform Securities Agent State Law Examination
    2003-06-19
Other Names
  • Steve Tracy

View on SEC IAPD

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