Phillip M. Zera
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.
Phillip M Zera, who also goes by Philip M Zera, Philip Matthew Zera, Phillip Matthew Zera, Phillip M Zera, was a registered financial professional .
Phillip is a previously registered financial professional and started their career in finance in 1987. Phillip had worked at 10 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 3 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
August 23, 2021 - January 3, 2022
BRIGHT TRADING, LLC
August 3, 2020 - November 11, 2020
BRIGHT TRADING, LLC
October 3, 2003 - December 8, 2003
HEROLD & LANTERN INVESTMENTS, INC.
July 31, 2001 - October 17, 2001
VIEWTRADE SECURITIES, INC.
June 6, 1998 - August 20, 1999
ON-SITE TRADING, INC.
March 29, 1995 - June 12, 1998
BARRON CHASE SECURITIES, INC.
January 23, 1992 - April 7, 1995
RAYMOND JAMES & ASSOCIATES, INC.
June 10, 1991 - September 9, 1991
UBS FINANCIAL SERVICES INC.
August 30, 1990 - May 30, 1991
CIBC WORLD MARKETS CORP.
August 9, 1988 - June 3, 1989
LASALLE ST SECURITIES, L.L.C.
October 21, 1987 - March 24, 1988
UNITED CAPITAL CORPORATION
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
Series 57TO
Date: 8/3/2020
Securities Trader ExamSeries 55
Date: 1/2/1999
Limited Representative-Equity Trader ExamCurrent Firm
BRIGHT TRADING, LLC
CRD#: 34702 / SEC#: , 8-44990
Contact information
FINRA licenses (3 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BRIGHT INVESTMENTS, LLC | MANAGING MEMBER | |
| ARLINSKY, KOSTA | TRADER | 5510518 |
| ARLINSKY, STEVE | TRADER | 5510563 |
| JONES, KEN ANDO | TRADER | 5512985 |
| SORGIC, SINISA | TRADER | 5513001 |
| ANDERSON, DIANA ELIZABETH | COMPLIANCE DIRECTOR/ CHIEF COMPLIANCE OFFICER | 4894089 |
| BRIGHT, ROBERT ALVIN | CEO, CFO | 1148394 |
| CHAN, STEPHEN KEI ON | TRADER | 5571223 |
| FRIESEN, ROBIN DALE | PRESIDENT/CHIEF OPERATING OFFICER | 5518030 |
| ROSS, CHRISTINE ANGEL | CFO, FINOP | 5512412 |
| SHILLETTO, ANDREW E MR. | TRADER | 4793136 |
| WALENTINY, CARLO ANNE JOSEPH | TRADER | 5518113 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
