Guido C. Santero
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.
Guido Camillo Santero was a registered financial professional .
Guido is a previously registered financial professional and started their career in finance in 1981. Guido had worked at 4 firms and has passed the Series 63, SIE and Series 1 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 29, 2005 - December 31, 2016
BROOKLIGHT PLACE SECURITIES, INC.
May 3, 2001 - November 15, 2005
TRANSAMERICA FINANCIAL ADVISORS, LLC
March 10, 1999 - November 15, 2005
TRANSAMERICA FINANCIAL ADVISORS, LLC
April 9, 1987 - March 19, 1999
BROOKLIGHT PLACE SECURITIES, INC.
January 28, 1983 - April 20, 1987
CADARET, GRANT & CO., INC.
December 4, 1981 - January 20, 1983
WZW FINANCIAL SERVICES, 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
Series 1
Date: 10/10/1968
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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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