Glenn J. Stefani
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 James Stefani, who also goes by Glenn J Stefani, was a registered financial professional .
Glenn is a previously registered financial professional and started their career in finance in 1987. Glenn had worked at 6 firms and has passed the Series 63 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 19, 2002 - July 28, 2014
ICAP SECURITIES USA LLC
March 17, 2000 - January 25, 2002
ICAP SECURITIES USA LLC
December 14, 1998 - April 28, 2000
INTERCAPITAL GOVERNMENT SECURITIES INC.
December 14, 1998 - October 26, 2000
INTERCAPITAL INTERNATIONAL INC.
October 13, 1995 - December 5, 1996
LIBERTY BROKERS
May 4, 1992 - September 15, 1998
TULLETT PREBON FINANCIAL SERVICES LLC
August 11, 1987 - February 19, 1992
GARBAN CAPITAL MARKETS LLC
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
Current Firm
ICAP SECURITIES USA LLC
CRD#: 19739 / SEC#: , 8-37947
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ICAP GLOBAL BROKING INC. | SOLE MEMBER | |
| BERNARDO, SHAWN FRANCIS | CEO | 2513376 |
| DESIMONE, LISA MARIE | CHIEF COMPLIANCE OFFICER | 2691368 |
| GOULET, STEPHEN PAUL | SENIOR MANAGING DIRECTOR/GENERAL COUNSEL/SECRETARY | 4769810 |
| MURPHY, GREGORY FRANCIS | CHIEF OPERATING OFFICER | 1483320 |
| PEZEU, CHRISTIAN JEAN MICHEL | PRINCIPAL FINANCIAL OFFICER | 5661987 |
Disclosures
| Regulatory Event | 3 |
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.
