James R. Glose
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.
James Richard Glose, AIF®, who also goes by Jim Glose, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1984. James had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 21, 2024 - December 15, 2025
TYLER-STONE WEALTH MANAGEMENT, LLC
August 3, 2021 - October 6, 2025
LPL FINANCIAL LLC
December 23, 2011 - October 6, 2025
LPL FINANCIAL LLC
October 2, 1997 - December 31, 2011
LASALLE ST SECURITIES, L.L.C.
April 25, 1996 - October 1, 1997
NEW ENGLAND SECURITIES
January 4, 1996 - October 16, 1997
SAPERSTON FINANCIAL INC.
March 21, 1994 - March 12, 1996
NEW ENGLAND SECURITIES
March 15, 1991 - March 14, 1994
BERKSHIRE EQUITY SALES, INC.
May 30, 1984 - March 28, 1991
VERAVEST INVESTMENTS, INC.
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
TYLER-STONE WEALTH MANAGEMENT, LLC
CRD#: 173667 / SEC#: 801-80876
Contact information
Regulatory assets under management
| Total Number of Accounts | 1,818 |
| AUM (Assets Under Management) | $ 598,935,800 |
Red Flags
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