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Carleton Glen Mcbride

CRD# 1051619·Registered 1982 - 2013
Previously Registered: Being a previously registered professional could mean that Carleton 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.

Professional Summary

Carleton Glen Mcbride, who also goes by C. Glen Mcbride, was a registered financial advisor. Carleton was a previously registered financial professional and started their career in finance 1982 - 2013. Carleton had worked at 7 firms and has passed the Series 3, Series 7, Series 24 and Series 53 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

C. Glen Mcbride

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

44 years in the financial services industry

Current & Past Employments

PRIME CAPITAL SERVICES, INC.·CRD# 18334
BD
Poughkeepsie, NY
August 9, 2011 - March 5, 2013
PRIME CAPITAL SERVICES, INC.·CRD# 18334
BD
Poughkeepsie, NY
January 22, 2008 - May 4, 2010
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY·CRD# 2580
BD
Fort Wayne, IN
July 28, 2004 - April 1, 2006
OSAIC FA, INC.·CRD# 3978
BD
Lagrange, NY
July 28, 2004 - May 24, 2006
VERAVEST INVESTMENTS, INC.·CRD# 3960
BD
Worcester, MA
November 6, 2001 - December 2, 2003
JOSEPHTHAL & CO., INC.·CRD# 3227
BD
New York, NY
August 27, 1997 - October 17, 2001
STERLING FOSTER & COMPANY, INC.·CRD# 36052
BD
Uniondale, NY
November 26, 1996 - February 19, 1997
PRIME CAPITAL SERVICES, INC.·CRD# 18334
BD
Poughkeepsie, NY
May 24, 1994 - November 20, 1996
CITIGROUP GLOBAL MARKETS INC.·CRD# 7059
BD
New York, NY
August 3, 1982 - April 20, 1994

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Current Firm

PC
PRIME CAPITAL SERVICES, INC.

PRIME CAPITAL SERVICES, INC.

CRD#: 18334 / SEC#: 8-36492
BD
Terminated by SEC on 03/03/2014

Contact Information

Established

New York since 08/04/1986

Firm Type

Corporation

Fiscal Year End

June

Documents

Direct owners and executive officers

NamePositionCRD#
GILMAN CIOCIA, INC.PARENT CORP.—
GREENSTEIN, IVAN HUGHFINANCIAL OPERATIONS PRINCIPAL2626704
MOTTA, CHRISTOPHER JOHNPRINCIPAL2741133
NAPOLITANO, AMY ANNPRESIDENT, DIRECTOR4024302
NAPOLITANO, AMY ANNCHIEF COMPLIANCE OFFICER4024302

Disclosures

Regulatory Event

10

Arbitration

6

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 3 — National Commodity Futures Examination

Passed Jan 1989About the Series 3 exam

Series 7 — General Securities Representative Examination

Passed Jul 1982About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Apr 2008About the Series 24 exam

Series 53 — Municipal Securities Principal Examination

Passed May 2003About the Series 53 exam

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CRS (Client Relationship Summary)

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

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