Denny L. Bauer
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.
Denny Lee Bauer, who also goes by Denny L Bauer, Denny L. Bauer, was a registered financial professional .
Denny is a previously registered financial professional and started their career in finance in 2000. Denny had worked at 4 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 27, 2015 - December 18, 2015
BROOKLIGHT PLACE SECURITIES, INC.
September 21, 2012 - January 16, 2015
NATIONWIDE SECURITIES, LLC
April 20, 2010 - July 16, 2012
COUNTRY CAPITAL MANAGEMENT COMPANY
October 20, 2009 - December 3, 2009
FB EQUITY SALES CORPORATION OF MICHIGAN
June 15, 2004 - November 16, 2007
COUNTRY CAPITAL MANAGEMENT COMPANY
March 22, 2000 - April 8, 2002
NATIONWIDE 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
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