Vanessa A. Light
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.
Vanessa Anne Light was a registered financial professional .
Vanessa is a previously registered financial professional and started their career in finance in 1995. Vanessa had worked at 10 firms and has passed the Series 63, Series 55 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
June 16, 2011 - April 2, 2012
W.A. CAPITAL MARKETS
September 22, 2010 - June 20, 2011
DOMESTIC SECURITIES, INC.
September 22, 2010 - June 21, 2011
RUSHMORE CAPITAL, INC.
November 2, 2006 - October 2, 2009
THE BENCHMARK COMPANY, LLC
February 7, 2005 - October 31, 2006
TRADITION SECURITIES AND DERIVATIVES LLC
September 3, 2003 - February 3, 2005
CROWN FINANCIAL GROUP, INC.
August 18, 1999 - October 1, 2002
CROWN FINANCIAL GROUP, INC.
March 4, 1998 - August 28, 1999
SHARPE CAPITAL, INC.
May 13, 1997 - December 9, 1997
LADENBURG CAPITAL MANAGEMENT INC.
September 25, 1995 - September 14, 1996
J. ALEXANDER SECURITIES, INC.
February 17, 1995 - September 20, 1995
MAIDSTONE FINANCIAL, 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 55
Date: 11/1/1999
Limited Representative-Equity Trader ExamCurrent Firm
W.A. CAPITAL MARKETS
CRD#: 6292 / SEC#: , 8-16871
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MURPHY, RICHARD JAMES | REGISTERED OPTIONS PRINCIPAL (SROP) | 1016183 |
| MURPHY, RICHARD JAMES | GENERAL PARTNER | 1016183 |
| GEM NEW YORK, LLC | GENERAL PARTNER | |
| MILLAR, DOUGLAS MACARTHUR | CHIEF COMPLIANCE OFFICER | 1631198 |
| MURPHY, GLORIA E | LIMITED PARTNER | 3150528 |
| PETRI, RICHARD THOMAS | FINANCIAL & OPERATIONS PRINCIPAL | 3039438 |
Disclosures
| Regulatory Event | 29 |
| Arbitration | 2 |
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.
