Charles B. Matthews
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.
Charles Bruce Matthews, who also goes by Bruce Matthews, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1983. Charles had worked at 9 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 1, 2010 - December 13, 2012
BROOKLIGHT PLACE SECURITIES, INC.
October 5, 2007 - December 31, 2009
INSPHERE SECURITIES, INC.
December 9, 2005 - August 2, 2007
SECURIAN FINANCIAL SERVICES, INC.
January 2, 2002 - November 15, 2005
RESOURCE HORIZONS GROUP LLC
September 18, 1996 - December 31, 2001
THE O.N. EQUITY SALES COMPANY
January 2, 1996 - September 24, 1996
WOODBURY FINANCIAL SERVICES, INC.
October 15, 1992 - January 22, 1996
CANADA LIFE OF AMERICA FINANCIAL SERVICES, INC.
October 13, 1992 - December 31, 1995
CADARET, GRANT & CO., INC.
July 15, 1983 - November 3, 1992
NYLIFE SECURITIES LLC
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.
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