Glenn A. Main
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.
Glenn Arthur Main III was a registered financial professional .
Glenn is a previously registered financial professional and started their career in finance in 1981. Glenn had worked at 3 firms and has passed the Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 9, 1986 - July 21, 1989
THOMAS M. NIXON & ASSOCIATES, INC.
May 27, 1982 - October 1, 1986
MANAGED INVESTMENTS, INC.
November 11, 1981 - December 23, 1985
THE O.N. EQUITY SALES COMPANY
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
THOMAS M. NIXON & ASSOCIATES, INC.
CRD#: 17047 / SEC#: , 8-34954
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NIXON, THOMAS MARION | PRESIDENT, CEO, CCO, PRINCIPAL | 833930 |
Disclosures
| Regulatory Event | 3 |
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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