Arthur F. Noterman
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.
Arthur Francis Noterman, who also goes by Arthur Noterman, was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 1969. Arthur had worked at 9 firms and has passed the Series 6TO, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 22, 2020 - January 31, 2025
BROOKLIGHT PLACE SECURITIES, INC.
December 26, 2018 - December 31, 2019
ST. BERNARD FINANCIAL SERVICES, INC.
March 2, 2012 - December 31, 2016
BROOKLIGHT PLACE SECURITIES, INC.
August 2, 2010 - March 1, 2012
LINCOLN INVESTMENT
February 15, 2005 - August 2, 2010
MM ASCEND LIFE INVESTOR SERVICES, LLC
August 1, 2000 - February 15, 2005
PMG SECURITIES CORPORATION
September 25, 1985 - August 1, 2000
INVESTORS BROKERAGE SERVICES, INC.
January 1, 1981 - November 21, 1983
BUTTONWOOD SECURITIES CORPORATION OF MASSACHUSETTS
February 5, 1973 - January 31, 1981
SECURITY INVESTMENT SERVICES CORP.
October 9, 1969 - February 22, 1973
INTEGRATED RESOURCES EQUITY 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
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 1
Date: 10/7/1969
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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