David A. Tucker
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.
David Alan Tucker was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1999. David had worked at 8 firms and has passed the 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
May 1, 2019 - October 22, 2019
BROOKLIGHT PLACE SECURITIES, INC.
January 18, 2018 - May 1, 2018
PEAK BROKERAGE SERVICES, LLC
May 19, 2015 - October 30, 2017
CENTER STREET SECURITIES, INC.
January 3, 2013 - May 20, 2015
TAYLOR CAPITAL MANAGEMENT INC.
April 18, 2012 - May 15, 2012
LIFEMARK SECURITIES CORP.
December 23, 2011 - April 11, 2012
MUTUAL TRUST COMPANY OF AMERICA SECURITIES
November 5, 2009 - February 23, 2010
BROOKSTONE SECURITIES, INC.
January 22, 2008 - April 18, 2008
BROOKSTONE SECURITIES, INC.
August 12, 1999 - December 3, 2007
CONCOURSE FINANCIAL GROUP SECURITIES, 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
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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