Carol J. Littlefair
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.
Carol J Littlefair, who also goes by Carol Joyce Littlefair, was a registered financial professional .
Carol is a previously registered financial professional and started their career in finance in 1988. Carol had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 53 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
September 23, 2015 - February 29, 2016
BROOKLIGHT PLACE SECURITIES, INC.
December 11, 2002 - July 16, 2015
ALLSTATE FINANCIAL SERVICES, LLC
November 10, 1998 - September 23, 2002
BROOKLIGHT PLACE SECURITIES, INC.
August 14, 1996 - November 6, 1998
DREHER & ASSOCIATES, INC.
January 25, 1994 - December 29, 1995
CAPITAL BROKERAGE CORPORATION
April 24, 1989 - January 24, 1994
CAL FED INVESTMENTS
April 15, 1988 - May 10, 1989
EMPOWER 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.
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