John T. King
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.
John Thomas King, who also goes by Tom King, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1971. John had worked at 8 firms and has passed the Series 63, Series 7, Series 1 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
May 21, 1993 - November 17, 1994
BROOKLIGHT PLACE SECURITIES, INC.
August 14, 1990 - February 3, 1992
THE RIVERVIEW CORPORATION
May 31, 1989 - September 12, 1990
FIRST AFFILIATED SECURITIES
May 4, 1988 - May 31, 1989
FIRST AFFILIATED SECURITIES, INC.
November 21, 1986 - May 13, 1988
ILG SECURITIES CORPORATION
July 27, 1984 - December 8, 1986
LABREC SECURITIES, INC.
May 18, 1981 - December 2, 1983
UNITED CAPITAL SECURITIES, INC.
August 2, 1971 - March 1, 1974
NYLIFE SECURITIES 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
Series 1
Date: 7/27/1971
Registered Representative ExaminationCurrent 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
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