Michael J. Palumbo
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.
Michael Joseph Palumbo, who also goes by Michael J Palumbo, Michael Palumbo, Mike Palumbo, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1998. Michael had worked at 6 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
November 5, 2019 - February 16, 2023
BROOKLIGHT PLACE SECURITIES, INC.
July 31, 2017 - October 1, 2019
WOODBURY FINANCIAL SERVICES, INC.
November 13, 2009 - June 8, 2017
BROOKLIGHT PLACE SECURITIES, INC.
November 9, 2007 - October 5, 2009
AUTO CLUB FUNDS, INC.
January 1, 2002 - November 16, 2007
BROOKLIGHT PLACE SECURITIES, INC.
January 20, 2000 - January 1, 2002
IAC SECURITIES, INC.
June 24, 1999 - January 13, 2000
TRANSAMERICA FINANCIAL ADVISORS, LLC
October 6, 1998 - June 24, 1999
IAC SECURITIES, INC.
July 20, 1998 - October 9, 1998
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
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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