Jose Miguel Abadin
Professional Summary
Jose Miguel Abadin is a registered financial advisor currently at GLENDALE SECURITIES, INC. located in Sherman Oaks, California. Jose is registered as a RR (Registered Representative) and started their career in finance in 1984. Jose has worked at 13 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 3, Series 9, Series 10, Series 4, Series 24 and Series 8 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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MORGAN STANLEY
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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
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MORGAN STANLEY
MORGAN STANLEY
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Current Firm
GLENDALE SECURITIES, INC.
Contact Information
Main Address
15233 Ventura Blvd., Suite 712, Sherman Oaks, CA 91403Mailing Address
15233 Ventura Blvd., Suite 712, Sherman Oaks, CA 91403Phone Number
(818) 907-1505Established
California since 08/19/2002Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (48 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
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Other business activities
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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MORGAN STANLEY
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State Registrations and Notice Filings
(2/23/2010)
(12/4/2009)
(2/24/2006)
(2/24/2006)
(1/22/2020)
(4/15/2015)
(2/24/2006)
(12/12/2012)
(3/16/2020)
(2/24/2006)
(2/11/2020)
(2/18/2026)
(2/7/2017)
(8/31/2011)
(3/26/2014)
(8/20/2010)
(4/19/2010)
(5/22/2008)
(8/31/2012)
(2/24/2006)
(11/7/2012)
(11/24/2010)
(6/1/2015)
(2/24/2006)
(10/11/2023)
(5/22/2014)
(4/17/2012)
(9/13/2011)
(2/12/2015)
(6/1/2009)
(4/30/2020)
(3/20/2006)
(2/28/2017)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed May 1999Series 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jan 2023About the Series 9 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2023About the Series 10 examSeries 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Nov 1993SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Jose Miguel Abadin's CRS (Customer Relationship Summary).
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