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Rohan Horasho Richards

Newbridge Securities Corp.

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About Rohan Horasho Richards

Rohan Horasho Richards is a financial professional with over 17 years of experience in the financial industry. Rohan is currently registered with Newbridge Securities Corp. and holds Series 63, SIE, and Series 7 licenses. Rohan has previously worked with several other firms including AEGIS CAPITAL CORP., NATIONAL SECURITIES CORPORATION, and SAGEPOINT FINANCIAL, INC. Rohan is licensed to practice in multiple states, including Arkansas, California, Connecticut, District of Columbia, Florida, New Jersey, New York, Ohio, Pennsylvania, and Texas.

Firm Information

Rohan Richards is currently registered with Newbridge Securities Corp.. Newbridge Securities Corp. is a Corporation formed in December 1997. The firm is registered with the SEC and in all 50 states, as well as Puerto Rico and the Virgin Islands. The firm has reported 31 Regulatory Events and 4 Arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

63

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Rohan Richards’s Registration & Firm History

FL

06/18/2021 - Present

Newbridge Securities Corp. (BOCA RATON FL)

FL

06/08/2018 - 06/17/2021

AEGIS CAPITAL CORP. (BOCA RATON FL)

FL

01/21/2015 - 04/02/2018

NATIONAL SECURITIES CORPORATION (Lady Lake FL)

FL

03/27/2014 - 12/31/2014

SAGEPOINT FINANCIAL, INC. (MIAMI FL)

FL

03/27/2013 - 12/31/2013

GREAT NATION INVESTMENT CORPORATION (FT. LAUDERDALE FL)

FL

01/24/2011 - 03/15/2011

CBG FINANCIAL GROUP, INC. (WEST PALM BEACH FL)

FL

05/22/2006 - 03/19/2010

NEWBRIDGE SECURITIES CORPORATION (FT. LAUDERDALE FL)

NY

05/30/2005 - 03/23/2006

MORGAN WILSHIRE SECURITIES, INC. (GARDEN CITY NY)

NY

10/31/2001 - 05/19/2005

MILESTONE GROUP MANAGEMENT LLC (LAKE SUCCESS NY)

NY

09/07/2001 - 11/27/2001

CONTINENTAL BROKER-DEALER CORP. (CARLE PLACE NY)

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Licenses & Designations

BC

Issued 09/26/2001

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/06/2001

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Rohan Horasho Richards.
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