Aldous A. Adriaan
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.
Aldous Ambrose Adriaan, who also goes by Aldo Adriaan, was a registered financial professional .
Aldous is a previously registered financial professional and started their career in finance in 1994. Aldous had worked at 6 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 7, 2019 - December 23, 2019
BROOKLIGHT PLACE SECURITIES, INC.
November 3, 2003 - January 2, 2019
SIGMA FINANCIAL CORPORATION
January 8, 2002 - November 3, 2003
VOYA FINANCIAL ADVISORS, INC.
December 15, 2000 - December 31, 2001
PACIFIC WEST SECURITIES, INC.
June 6, 1994 - December 1, 2000
WMA SECURITIES, INC.
April 27, 1994 - June 6, 1994
TRANSAMERICA FINANCIAL 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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