Mark S. Tomich
Professional summary
Mark Stanley Tomich was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Mark is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Mark had worked at 2 firms, which includes BROOKLIGHT PLACE SECURITIES INC., SICOR SECURITIES INC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 26, 2000 - August 14, 2007
BROOKLIGHT PLACE SECURITIES, INC.
May 27, 1997 - November 9, 1998
SICOR SECURITIES INC
August 14, 1987 - April 30, 1997
BROOKLIGHT PLACE SECURITIES, 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
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