James S. Glanzer
Professional summary
James Simon Glanzer, who also goes by James Glanzer, is a registered financial professional currently at COVIEW CAPITAL, INC. located in New York, New York.
James is registered as a RR (Registered Representative) and started their career in finance in 1982. James has worked at 17 firms and has passed the Series 63, SIE, Series 7, Series 24, Series 8, Series 27 and Series 28 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Simon Glanzer's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 3, 2020 - Present
COVIEW CAPITAL, INC.
Office #1: 780 Third Avenue Suite 3104, New York, NY 10017January 18, 2019 - May 28, 2020
C2M SECURITIES, LLC
January 3, 2017 - February 9, 2017
QUEST CAPITAL STRATEGIES, INC.
February 28, 2011 - January 13, 2015
KEYBANC CAPITAL MARKETS INC.
September 30, 2009 - February 17, 2011
CHAPDELAINE TULLETT PREBON, LLC
October 1, 2007 - September 25, 2009
GUGGENHEIM SECURITIES, LLC
January 14, 2005 - October 11, 2007
RBC CAPITAL MARKETS, LLC
April 20, 2004 - January 18, 2005
RBC CAPITAL MARKETS CORPORATION
August 5, 2003 - March 31, 2004
APEX CLEARING CORPORATION
June 27, 2000 - August 4, 2003
BNP PARIBAS SECURITIES CORP.
November 30, 1998 - July 20, 2000
BNP PARIBAS INVESTMENT SERVICES, LLC
November 7, 1997 - January 8, 1999
BNP PARIBAS BROKERAGE SERVICES, INC.
July 22, 1995 - November 4, 1997
CIBC WORLD MARKETS CORP.
January 28, 1991 - August 29, 1995
MAGDENSBURG SECURITIES CORP.
June 17, 1985 - September 15, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 9, 1983 - May 3, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
September 24, 1982 - November 19, 1982
BROADCHILD SECURITIES CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/3/2020)
(6/3/2020)
(6/3/2020)
(6/3/2020)
Exams
Series 8
Date: 1/5/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Series 28
Date: 12/3/1990
Introducing Broker/Dealer Financial Operations Principal ExaminationFINRA
Current Firm
COVIEW CAPITAL, INC.
CRD#: 35842 / SEC#: , 8-47081
Contact information
FINRA licenses (6 States and Territories)
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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