Kenneth L. Gliwa
Professional summary
Kenneth Lawrence Gliwa was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Kenneth is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, Kenneth had worked at 6 firms, which includes YANKEE FINANCIAL GROUP INC., GLENN MICHAEL FINANCIAL INC., PATAGON.COM SECURITIES CORP., G. K. SCOTT & CO. INC., SANDHURST SECURITIES LTD., INDIVIDUAL'S SECURITIES LTD..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 6, 2001 - February 20, 2003
YANKEE FINANCIAL GROUP, INC.
November 12, 1999 - April 6, 2001
GLENN MICHAEL FINANCIAL, INC.
February 24, 1988 - August 17, 2000
PATAGON.COM SECURITIES CORP.
December 15, 1987 - March 31, 1988
G. K. SCOTT & CO., INC.
May 9, 1986 - September 26, 1988
SANDHURST SECURITIES LTD.
August 23, 1983 - October 28, 1986
INDIVIDUAL'S SECURITIES LTD.
State Registrations and Notice Filings
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Exams
Series 55
Date: 7/20/1999
Limited Representative-Equity Trader ExamCurrent Firm
YANKEE FINANCIAL GROUP, INC.
CRD#: 17966 / SEC#: , 8-35997
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Civil Event | 1 |
| Arbitration | 1 |
Red Flags
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