Darryl J. Glatthorn
Professional summary
Darryl James Glatthorn, who also goes by Darryl Glatthorn, Darryl James Penn, is a registered financial professional currently at EQUUS FINANCIAL CONSULTING LLC located in New Canaan, Connecticut.
Darryl is registered as a RR (Registered Representative) and started their career in finance in 1981. Darryl has worked at 8 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 55, Series 3, Series 7, Series 6, Series 14 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Darryl James Glatthorn's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 6, 2004 - Present
EQUUS FINANCIAL CONSULTING LLC
Office #1: 78 Pine St., Suite 101, New Canaan, CT 06840June 11, 2004 - November 9, 2004
PROVIDENT INTERNATIONAL SECURITIES, INC.
December 11, 2003 - May 10, 2004
BSI BROKERAGE, INC.
May 3, 1995 - May 1, 2003
WATERMARK SECURITIES, INC.
March 29, 1995 - April 20, 1995
WATERMARK SECURITIES, INC.
March 22, 1990 - May 9, 1995
UBS FINANCIAL SERVICES INC.
March 25, 1987 - March 10, 1990
MORGAN STANLEY DW INC.
April 23, 1982 - June 27, 1983
LEHMAN BROTHERS KUHN LOEB INCORPORATED
November 26, 1981 - August 24, 1982
ADVANTAGE CAPITAL CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/25/2014)
(2/26/2024)
(3/14/2014)
(8/16/2018)
(2/23/2005)
(5/31/2013)
(11/9/2004)
(11/13/2006)
(4/27/2005)
(1/4/2011)
(4/17/2025)
(2/27/2015)
(3/10/2011)
(2/9/2011)
(2/18/2019)
(7/27/2016)
(3/14/2011)
(1/19/2012)
(9/17/2010)
(2/19/2015)
(2/1/2005)
(8/22/2013)
(1/10/2011)
(1/5/2011)
(2/7/2011)
(1/18/2019)
(7/8/2021)
(7/29/2015)
(6/22/2021)
(10/4/2006)
(1/28/2016)
(10/25/2004)
(7/31/2013)
(6/19/2017)
(12/7/2010)
(6/22/2021)
(9/9/2016)
(3/24/2011)
(1/2/2024)
(7/29/2014)
(12/10/2020)
(1/8/2019)
(4/26/2011)
(4/13/2018)
(4/21/2025)
(10/23/2009)
(8/31/2016)
(6/21/2017)
(9/7/2011)
(4/17/2025)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 1/18/2000
Limited Representative-Equity Trader ExamFINRA
Current Firm
EQUUS FINANCIAL CONSULTING LLC
CRD#: 131449 / SEC#: , 8-66467
Contact information
FINRA licenses (50 States and Territories)
Red Flags
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