Brian R. Wegner
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.
Brian Raymond Wegner was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1985. Brian had worked at 6 firms and has passed the Series 63, SIE 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 5, 2010 - December 31, 2016
BROOKLIGHT PLACE SECURITIES, INC.
September 8, 2009 - January 4, 2010
LPL FINANCIAL LLC
October 28, 2002 - September 8, 2009
WATERSTONE FINANCIAL GROUP, INC.
March 27, 1991 - October 28, 2002
DREHER & ASSOCIATES, INC.
August 1, 1989 - March 27, 1991
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 20, 1985 - August 4, 1989
MARQUETTE FINANCIAL GROUP, 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.
