Neil J. Glickman
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.
Neil J Glickman, who also goes by Neil Jay Glickman, was a registered financial professional .
Neil is a previously registered financial professional and started their career in finance in 1982. Neil had worked at 13 firms and has passed the Series 65, Series 63, SIE, 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
August 2, 2017 - January 12, 2018
LIFEMARK SECURITIES CORP.
August 1, 2017 - August 1, 2017
LIFEMARK SECURITIES CORP.
August 1, 2017 - January 12, 2018
LIFEMARK SECURITIES CORP.
December 22, 2010 - August 1, 2017
KOVACK ADVISORS, INC.
November 11, 2010 - August 1, 2017
KOVACK SECURITIES INC.
October 30, 2006 - October 26, 2010
EDWARD JONES
December 19, 2002 - October 26, 2010
EDWARD JONES
October 31, 2002 - December 19, 2002
FIRST MONTAUK SECURITIES CORP.
May 25, 2001 - October 14, 2002
WELLS FARGO CLEARING SERVICES, LLC
January 31, 2001 - October 14, 2002
WELLS FARGO CLEARING SERVICES, LLC
April 15, 1999 - November 21, 2000
METROPOLITAN LIFE INSURANCE COMPANY
April 15, 1999 - November 21, 2000
MSI FINANCIAL SERVICES, INC.
November 8, 1993 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
November 8, 1993 - March 24, 1999
SIGNATOR INVESTORS, INC.
April 30, 1993 - October 6, 1993
NYLIFE SECURITIES LLC
March 25, 1982 - March 16, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
February 21, 1982 - March 16, 1993
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
LIFEMARK SECURITIES CORP.
CRD#: 16204 / SEC#: 801-68438, 8-33478
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
LIFEMARK SECURITIES CORP.
CRD#: 16204 / SEC#: 801-68438, 8-33478
Contact information
SEC notice filing (46 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KALINOWSKI, ANDREW JOSEPH | VP / BOARD MEMBER/SECRETARY | 263409 |
| MICCICHE, VINCENT JR | TREASURER/ FINOP/PFO/POO | 702149 |
| PRISCO, JAMES JOSEPH | CHIEF EXECUTIVE OFFICER/ CHIEF COMPLIANCE OFFICER | 2653402 |
| PRISCO, JAMES JOSEPH | PRESIDENT / BOARD MEMBER | 2653402 |
| GEORGIEV, ALEXANDRE JR. | CCO OF THE RIA / DIRECTOR OF OPERATIONS | 5307830 |
Regulatory assets under management
| Total Number of Accounts | 2,021 |
| AUM (Assets Under Management) | $ 461,475,636 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 3 |
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.
