Glenn M. Cantor
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.
Glenn Mitchell Cantor was a registered financial professional .
Glenn is a previously registered financial professional and started their career in finance in 1982. Glenn had worked at 6 firms and has passed the Series 66, Series 63, Series 22TO, Series 7TO, Series 6TO, SIE, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 2017 - October 11, 2021
CETERA INVESTMENT ADVISERS LLC
December 6, 2016 - October 11, 2021
CETERA INVESTMENT SERVICES LLC
March 4, 2008 - January 4, 2017
LPL FINANCIAL LLC
March 4, 2008 - January 4, 2017
LPL FINANCIAL LLC
July 19, 2002 - March 4, 2008
IFMG SECURITIES, INC.
January 21, 1992 - March 4, 2008
IFMG SECURITIES, INC.
September 24, 1982 - January 28, 1992
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
September 24, 1982 - January 28, 1992
SIGNATOR INVESTORS, INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
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
Series 22TO
Date: 9/19/2022
Direct Participation Programs Representative ExaminationSeries 7TO
Date: 9/19/2022
General Securities Representative ExaminationSeries 6TO
Date: 9/19/2022
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
