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 an online, self-study program, followed by onsite learning at a university partner campus
Designation Exam Type

Online, proctored course exams
Continuing Education Requirements

20 hours annually
Verification and Complaints
Online Designation Resource

Online at Member Directory Search
Investor Complaint Process

None
Published List of Disciplined Designees

None
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