Stephen H. Gluck
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.
Stephen Hugh Gluck JR, who also goes by Stephen Hugh Gluck, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1981. Stephen had worked at 11 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 24, 2013 - June 18, 2015
THE VERTICAL GROUP
October 27, 2011 - April 22, 2013
TEJAS SECURITIES GROUP, INC.
April 30, 2010 - November 8, 2011
ELEVATION, LLC
June 4, 2004 - March 9, 2010
LEDGEMONT CAPITAL MARKETS LLC
August 7, 1992 - May 25, 2004
MONNESS CRESPI HARDT & CO., INC.
March 13, 1991 - June 30, 1992
VANDHAM SECURITIES CORP.
August 17, 1990 - March 4, 1991
GLOBAL CAPITAL SECURITIES, INC.
September 27, 1989 - March 17, 1990
GEEK SECURITIES, INC.
June 5, 1989 - June 20, 1989
STARR SECURITIES, INC.
July 8, 1988 - August 3, 1988
SACKS INVESTMENT COMPANY, INC.
December 24, 1981 - July 2, 1986
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
THE VERTICAL GROUP
CRD#: 104353 / SEC#: , 8-52814
Contact information
FINRA licenses (30 States and Territories)
Documents
Disclosures
| Regulatory Event | 13 |
Red Flags
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