Carl E. Garrett
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.
Carl Edward Garrett was a registered financial advisor .
Carl is a previously registered financial advisor and started their career in finance in 1970. Carl had worked at 9 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 28, 2008 - October 21, 2009
BRIGHT TRADING, LLC
January 1, 2004 - July 19, 2005
CETERA ADVISORS LLC
January 1, 2004 - December 31, 2007
CETERA ADVISORS LLC
December 7, 1999 - January 1, 2004
VESTAX SECURITIES CORPORATION
July 10, 1996 - January 1, 2004
VESTAX SECURITIES CORPORATION
June 24, 1983 - December 9, 1994
OSAIC FS, INC.
July 7, 1976 - September 3, 1981
WZW FINANCIAL SERVICES, INC.
March 23, 1976 - September 2, 1976
PRICE, ALLEN & STEVENS SECURITIES CORP
October 24, 1973 - December 28, 1975
SECURITY COUNSELORS INC.
December 11, 1972 - November 29, 1973
SOUTHMARK FINANCIAL SERVICES, INC.
April 21, 1970 - May 29, 1971
ONEAMERICA 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
Series 1
Date: 4/11/1970
Registered Representative ExaminationCurrent 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.
