Chris M. Wadhams
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.
Chris Michael Wadhams, who also goes by Chris M Wadhams, was a registered financial professional .
Chris is a previously registered financial professional and started their career in finance in 1976. Chris had worked at 6 firms and has passed the Series 65, Series 63, 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 17, 2003 - December 15, 2015
BROOKLIGHT PLACE SECURITIES, INC.
January 31, 1996 - December 31, 2003
SII INVESTMENTS, INC.
March 4, 1985 - January 30, 1996
NYLIFE SECURITIES LLC
October 22, 1980 - May 24, 1985
VERAVEST INVESTMENTS, INC.
October 19, 1979 - November 6, 1980
PRINCIPAL SECURITIES, INC.
November 17, 1976 - August 9, 1979
LINCOLN FINANCIAL DISTRIBUTORS, 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: 11/11/1976
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
