Thomas G. Glaser
Professional summary
Thomas Greiwe Glaser MR. was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Thomas is a previously registered financial professional and started their career in finance in 1984. Prior to being barred, Thomas had worked at 8 firms, which includes VANGUARD CAPITAL, THE GLASER CAPITAL CORPORATION, VANDHAM SECURITIES CORP., RDSC LLC, ADLER COLEMAN & CO. INC., WOOLCOTT & CO. INC., WILLIAM K. WOODRUFF & COMPANY INCORPORATED, ROONEY PACE INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 24, 1999 - November 2, 2000
VANGUARD CAPITAL
May 21, 1992 - April 7, 1999
THE GLASER CAPITAL CORPORATION
April 12, 1991 - May 15, 1992
VANDHAM SECURITIES CORP.
December 1, 1988 - April 2, 1991
RDSC, LLC
February 11, 1988 - October 12, 1988
ADLER COLEMAN & CO., INC.
July 17, 1986 - December 14, 1987
WOOLCOTT & CO., INC.
June 28, 1985 - April 2, 1986
WILLIAM K. WOODRUFF & COMPANY INCORPORATED
October 26, 1984 - June 7, 1985
ROONEY, PACE 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
Series 28
Date: 5/8/1992
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
VANGUARD CAPITAL
CRD#: 22081 / SEC#: 801-71971, 8-39450
Contact information
Disclosures
| Regulatory Event | 10 |
| Arbitration | 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.
