David C. Crain
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.
David Charles Crain was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1987. David had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24, Series 4 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 12, 2019 - August 3, 2020
BROOKLIGHT PLACE SECURITIES, INC.
May 5, 2014 - March 27, 2018
B. C. ZIEGLER AND COMPANY
May 5, 2014 - April 9, 2018
B. C. ZIEGLER AND COMPANY
April 16, 2013 - December 26, 2013
WORLD EQUITY GROUP, INC.
April 16, 2013 - December 26, 2013
WORLD EQUITY GROUP, INC.
March 8, 2011 - April 4, 2013
MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC.
March 8, 2011 - April 4, 2013
MESIROW FINANCIAL, INC.
May 13, 2010 - March 7, 2011
TRADINGBLOCK
January 8, 2010 - May 19, 2010
LPL FINANCIAL LLC
January 8, 2010 - May 19, 2010
LPL FINANCIAL LLC
September 8, 2009 - December 22, 2009
LPL FINANCIAL LLC
September 8, 2009 - December 22, 2009
LPL FINANCIAL LLC
August 16, 2001 - September 8, 2009
WATERSTONE FINANCIAL GROUP, INC.
February 9, 1998 - August 15, 2006
HERITAGE CAPITAL MANAGEMENT INC
February 5, 1998 - December 31, 2003
STERLING PORTFOLIO ALLOCATION SERVICE INC
April 8, 1997 - September 8, 2009
WATERSTONE FINANCIAL GROUP, INC.
September 19, 1996 - April 15, 1997
HARRIS INVESTORS DIRECT, INC.
September 15, 1989 - September 3, 1996
WATERSTONE FINANCIAL GROUP, INC.
May 11, 1989 - September 20, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
May 23, 1988 - April 24, 1989
J. T. MORAN & CO., INC.
July 7, 1987 - June 1, 1988
SHERWOOD CAPITAL, 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.
