John R. Wustner
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.
John Rudolph Wustner was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1974. John had worked at 9 firms and has passed the Series 63 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
January 1, 2002 - December 31, 2002
BROOKLIGHT PLACE SECURITIES, INC.
August 27, 1996 - January 1, 2002
IAC SECURITIES, INC.
March 21, 1988 - July 16, 1996
COORDINATED CAPITAL SECURITIES, INC.
February 27, 1987 - March 21, 1988
WINDSOR EQUITY CORPORATION
June 9, 1986 - March 17, 1987
INTEGRATED RESOURCES EQUITY CORPORATION
May 26, 1983 - June 10, 1986
CHARTER SECURITIES CORPORATION
January 3, 1982 - March 8, 1983
OSAIC FS, INC.
August 5, 1974 - August 12, 1981
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
August 5, 1974 - August 12, 1981
SIGNATOR INVESTORS, 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: 7/31/1974
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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