Dewayne C. Soares
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.
Dewayne Cecil Soares, who also goes by De Wayne Cecil Soares, was a registered financial professional .
Dewayne is a previously registered financial professional and started their career in finance in 1973. Dewayne had worked at 8 firms and has passed the Series 63, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 1, 2002 - November 30, 2010
BROOKLIGHT PLACE SECURITIES, INC.
May 26, 1999 - January 1, 2002
IAC SECURITIES, INC.
January 30, 1995 - June 8, 1999
OSAIC WEALTH, INC.
June 5, 1985 - October 10, 1994
SOARES FINANCIAL GROUP, INC.
June 24, 1983 - May 24, 1985
CONSOLIDATED INVESTMENT SERVICES, INC.
October 10, 1978 - June 30, 1983
SOUTHMARK FINANCIAL SERVICES, INC.
September 4, 1973 - November 10, 1978
OSAIC FS, INC.
July 23, 1973 - October 20, 1973
PACE 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
Series 1
Date: 7/16/1973
Registered Representative ExaminationSeries 40
Date: 11/21/1978
Registered Principal 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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