Rodolfo A. Dominguez
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.
Rodolfo Augusto Dominguez was a registered financial professional .
Rodolfo is a previously registered financial professional and started their career in finance in 1988. Rodolfo had worked at 4 firms and has passed the Series 65, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 3, 2014 - December 31, 2015
BROOKLIGHT PLACE SECURITIES, INC.
December 21, 2005 - October 17, 2012
NEW ENGLAND SECURITIES
November 21, 2005 - October 17, 2012
NEW ENGLAND SECURITIES
April 28, 1988 - November 4, 2005
EQUITABLE ADVISORS, LLC
April 18, 1988 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
April 18, 1988 - November 4, 2005
EQUITABLE ADVISORS, LLC
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.
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