Roger B. Crump
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.
Roger Brent Crump was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1994. Roger had worked at 7 firms and has passed the Series 63, SIE 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
January 20, 2017 - December 31, 2018
BROOKLIGHT PLACE SECURITIES, INC.
August 2, 2010 - December 12, 2016
GWN SECURITIES INC.
February 15, 2005 - August 4, 2010
MM ASCEND LIFE INVESTOR SERVICES, LLC
August 25, 2003 - February 15, 2005
PMG SECURITIES CORPORATION
August 27, 1998 - August 19, 2003
OSAIC FS, INC.
May 23, 1994 - August 7, 1998
INTERVEST INTERNATIONAL EQUITIES CORPORATION
January 14, 1994 - May 23, 1994
PROGRAMMED EQUITIES 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
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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