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GS

Glen E. Smith

Some features on this profile are disabled
CRD#: 1023145
GS

Professional summary

Glen Edward Smith JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Glen is a previously registered financial professional and started their career in finance in 1981. Prior to being barred, Glen had worked at 9 firms, which includes HARDMAN FINANCIAL SERVICES INC., AMERICAN FIRST CAPITAL CORP., CAPSTONE PARTNERS L.C., PROTECTIVE GROUP SECURITIES CORPORATION, FIRST LIBERTY INVESTMENT GROUP INC., PREFERRED SECURITIES GROUP INC., SFI INVESTMENTS INC., WORLD INVEST CORPORATION, A. G. EDWARDS & SONS INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

September 26, 2000 - April 26, 2002

HARDMAN FINANCIAL SERVICES, INC.

BD
CRD#: 35298
WEST PALM BEACH, FL
Past

May 12, 2000 - September 8, 2000

AMERICAN FIRST CAPITAL CORP.

BD
CRD#: 43751
MIAMI, FL
Past

April 28, 1999 - March 28, 2011

CAPSTONE PARTNERS, L.C.

BD
CRD#: 35784
ATLANTA, GA
Past

April 29, 1998 - May 12, 2000

PROTECTIVE GROUP SECURITIES CORPORATION

BD
CRD#: 6757
MINNEAPOLIS, MN
Past

July 30, 1997 - February 26, 1998

FIRST LIBERTY INVESTMENT GROUP, INC.

BD
CRD#: 3536
PHILADELPHIA, PA
Past

April 29, 1997 - July 16, 1997

PREFERRED SECURITIES GROUP, INC.

BD
CRD#: 35704
BOCA RATON, FL
Past

May 31, 1996 - May 15, 1997

SFI INVESTMENTS, INC.

BD
CRD#: 21663
NEW YORK, NY
Past

May 10, 1994 - February 22, 1996

HARDMAN FINANCIAL SERVICES, INC.

BD
CRD#: 35298
WEST PALM BEACH, FL
Past

October 25, 1991 - July 12, 1994

WORLD INVEST CORPORATION

BD
CRD#: 17223
DEERFIELD BEACH, FL
Past

December 24, 1981 - September 25, 1991

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
ST. LOUIS, MO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 5/7/1982
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 5
Date: 5/7/1982
Interest Rate Options Examination
General Industry/Product Exam
RR
Series 7
Date: 12/19/1981
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 28
Date: 3/30/1999
Introducing Broker/Dealer Financial Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/26/1998
General Securities Principal Examination

Current Firm

HF
HARDMAN FINANCIAL SERVICES, INC.
HARDMAN FINANCIAL SERVICES, INC.

CRD#: 35298 / SEC#: , 8-46642

BD
Terminated by SEC on 02/18/2003
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Contact information

Main Address
Mailing Address
Phone number
Established
Florida since 10/07/1993
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
HARDMAN, MICHAEL THOMASPRESIDENT, GENERAL PRINCIPAL,COMPLIANCE OFFICER1969375
HARDMAN, TINA MARIEVICE PRESIDENT, FINANCIAL & OPERATIONS PRINCIPAL3262154
FRERE, EUGENE FRANCISGENERAL PRINCIPAL1052697

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.

Company Information

HARDMAN FINANCIAL SERVICES, INC.

CRD#: 35298

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