Carole A. Haber
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Carole Ann Haber, who also goes by Carole Ann Shulman, was a registered financial professional .
Carole is a previously registered financial professional and started their career in finance in 1984. Carole had worked at 9 firms and has passed the Series 63 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
January 22, 2003 - December 17, 2012
BROOKLIGHT PLACE SECURITIES, INC.
January 1, 2002 - December 31, 2002
BROOKLIGHT PLACE SECURITIES, INC.
January 25, 2000 - January 1, 2002
IAC SECURITIES, INC.
February 11, 1998 - July 29, 1998
LINCOLN INVESTMENT
April 7, 1994 - January 1, 1998
ARAGON FINANCIAL SERVICES, INC.
April 12, 1991 - September 14, 1992
INTREPID SECURITIES, INC.
May 2, 1990 - April 12, 1991
METROPOLITAN LIFE INSURANCE COMPANY
April 25, 1990 - April 12, 1991
MSI FINANCIAL SERVICES, INC.
February 22, 1988 - April 25, 1990
UR FINANCIAL, INC.
February 21, 1986 - December 18, 1987
SHULMAN & CO., INC.
January 25, 1984 - September 25, 1984
UR FINANCIAL, INC.
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
BROOKLIGHT PLACE SECURITIES, INC.
CRD#: 15764 / SEC#: 801-61232, 8-32673
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRAC ENTERPRISES LLC | SHAREHOLDER | |
| BROKERS ALLIANCE, INC. | SHAREHOLDER | |
| TRUHLAR, CHARLES ANTHONY | OWNER OF SHAREHOLDER, PRESIDENT, CHIEF COMPLIANCE OFFICER | 4533534 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
