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Glenn Michael Desort

CRD# 1253044·Registered 1984 - 2014
Previously Registered: Being a previously registered professional could mean that Glenn 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

Glenn Michael Desort, who also goes by Glen Michael Desort, was a registered financial advisor. Glenn was a previously registered financial professional and started their career in finance 1984 - 2014. Glenn had worked at 24 firms and has passed the Series 63, Series 55, Series 7 and Series 24 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

Glen Michael Desort

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

42 years in the financial services industry

Current & Past Employments

Past

DAWSON JAMES SECURITIES, INC.Past·CRD# 130645
BD
Boca Raton, FL
September 13, 2013 - July 11, 2014
REVERE SECURITIES LLCPast·CRD# 14178
BD
Boca Raton, FL
January 5, 2012 - September 23, 2013
J.P. TURNER & COMPANY, L.L.C.Past·CRD# 43177
BD
Atlanta, GA
May 12, 2011 - October 25, 2011
STONEX SECURITIES INC.Past·CRD# 18456
BD
Fort Lauderdale, FL
July 9, 2010 - May 12, 2011
JESUP & LAMONT SECURITIES CORPPast·CRD# 39056
BD
Boca Raton, FL
October 23, 2008 - July 8, 2010
VFINANCE INVESTMENTS, INCPast·CRD# 44962
BD
Boca Raton, FL
March 31, 2006 - October 24, 2008
NEWBRIDGE SECURITIES CORPORATIONPast·CRD# 104065
BD
Boca Raton, FL
September 29, 2003 - April 3, 2006
ELECTRONIC ACCESS DIRECT, INC.Past·CRD# 36975
BD
Sarasota, FL
January 9, 2003 - October 20, 2003
SEABOARD SECURITIES, INC.Past·CRD# 755
BD
Florham Park, NJ
June 18, 2003 - October 8, 2003
PROGRAM TRADING CORP.Past·CRD# 36740
BD
Boca Raton, FL
January 30, 2003 - June 19, 2003
SUNSTATE EQUITY TRADINGPast·CRD# 43571
BD
Tampa, FL
July 8, 2002 - January 23, 2003
RUMSON CAPITAL, LLCPast·CRD# 33848
BD
Montebello, NY
October 8, 2001 - June 7, 2002
BROADWAY TRADING, LLCPast·CRD# 42429
BD
New York, NY
February 7, 2001 - March 28, 2001
BROADWAY TRADING, LLCPast·CRD# 42429
BD
New York, NY
July 2, 1998 - July 13, 1999
EQUITYLINE SECURITIES, INC.Past·CRD# 14853
BD
September 8, 1997 - June 4, 1998
BARRON CHASE SECURITIES, INC.Past·CRD# 18969
BD
Boca Raton, FL
July 26, 1993 - May 9, 1997
H.J. MEYERS & CO., INC.Past·CRD# 15609
BD
Rochester, NY
July 17, 1991 - July 1, 1993
MONMOUTH INVESTMENTS, INC.Past·CRD# 14047
BD
February 21, 1989 - September 13, 1991
BARRON CHASE SECURITIES, INC.Past·CRD# 18969
BD
Boca Raton, FL
June 26, 1990 - July 18, 1991
FIRST AMERICA EQUITIES CORP.Past·CRD# 7652
BD
May 18, 1990 - May 30, 1990
WELLSHIRE SECURITIES, INC.Past·CRD# 17939
BD
May 17, 1989 - May 11, 1990
STRATTON OAKMONT INC.Past·CRD# 18692
BD
April 21, 1989 - May 31, 1989
HANIFEN, IMHOFF SECURITIES CORP.Past·CRD# 10620
BD
January 6, 1989 - April 6, 1989
GRAYSTONE NASH, INC.Past·CRD# 10635
BD
November 24, 1986 - January 18, 1989
SHERWOOD CAPITAL, INC.Past·CRD# 10474
BD
February 2, 1987 - January 9, 1989
FIRST JERSEY SECURITIES, INC.Past·CRD# 6621
BD
August 31, 1984 - September 25, 1987
H.J. MEYERS & CO., INC.Past·CRD# 15609
BD
January 15, 1986 - November 18, 1986

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Current Firm

DJ
DAWSON JAMES SECURITIES, INC.

DAWSON JAMES SECURITIES, INC.

CRD#: 130645 / SEC#: 8-66367
BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)

Contact Information

Main Address

2700 N. Military Trail Suite 100, Boca Raton, FL 33431

Mailing Address

2700 N. Military Trail Suite 100, Boca Raton, FL 33431

Phone Number

(561) 391-5555

Established

Florida since 07/30/2002

Firm Type

Corporation

Fiscal Year End

December

Firm Size

Small

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ARK FINANCIAL SERVICES, INC.OWNER—
DORFMAN, JENNIFERCHIEF COMPLIANCE OFFICER/AML COMPLIANCE OFFICER3009328
KEYSER, ROBERT DAWSON JR.CEO1291503
STICE, HAROLD EUGENECHIEF FINANCIAL OFFICER/FINOP1349210

Disclosures

Regulatory Event

12

Arbitration

3

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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 63 — Uniform Securities Agent State Law Examination

Passed Nov 2006About the Series 63 exam

Series 55 — Limited Representative-Equity Trader Exam

Passed May 2003

Series 7 — General Securities Representative Examination

Passed Apr 1984About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Dec 1987About the Series 24 exam

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CRS (Client Relationship Summary)

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

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