Philip A. Laspina
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.
Philip Anthony Laspina was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1985. Philip had worked at 10 firms and has passed the Series 63, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 12, 2010 - November 20, 2013
BROOKLIGHT PLACE SECURITIES, INC.
January 19, 2007 - May 10, 2010
OSAIC SERVICES, INC.
May 15, 2006 - January 4, 2007
UVEST FINANCIAL SERVICES GROUP, INC.
October 31, 2005 - May 24, 2006
OSAIC SERVICES, INC.
July 6, 1998 - October 31, 2005
SUNAMERICA SECURITIES, INC.
January 3, 1994 - July 7, 1998
LPL FINANCIAL LLC
September 14, 1990 - January 4, 1994
MONY SECURITIES CORPORATION
October 25, 1989 - September 20, 1990
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
May 17, 1986 - September 20, 1990
PRUCO SECURITIES, LLC.
October 31, 1985 - April 30, 1986
AETNA LIFE INSURANCE AND ANNUITY COMPANY
October 31, 1985 - May 5, 1986
AETNA FINANCIAL SERVICES, 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.
