William A. Glaser
Professional summary
William August Glaser was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
William is a previously registered financial professional and started their career in finance in 1984. Prior to being barred, William had worked at 10 firms, which includes NATIONAL PLANNING CORPORATION, IPI WEALTH MANAGEMENT INC., INVESTMENT PLANNERS INC., CUTTER & COMPANY INC., LISS FINANCIAL SERVICES, WALNUT STREET SECURITIES INC., RAYMOND JAMES FINANCIAL SERVICES INC., INTEGRATED RESOURCES EQUITY CORPORATION, MARK TWAIN BROKERAGE SERVICES INC., INVEST FINANCIAL CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 10, 2008 - July 5, 2017
NATIONAL PLANNING CORPORATION
December 18, 2007 - July 5, 2017
NATIONAL PLANNING CORPORATION
July 31, 2003 - December 31, 2007
IPI WEALTH MANAGEMENT, INC.
January 3, 2002 - December 31, 2007
INVESTMENT PLANNERS, INC.
September 5, 1996 - December 31, 2001
CUTTER & COMPANY, INC.
July 17, 1991 - September 13, 1996
LISS FINANCIAL SERVICES
December 12, 1989 - July 18, 1991
WALNUT STREET SECURITIES, INC.
July 14, 1989 - December 15, 1989
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 4, 1989 - July 25, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
November 20, 1987 - December 31, 1988
MARK TWAIN BROKERAGE SERVICES, INC.
July 26, 1984 - November 16, 1987
INVEST FINANCIAL CORPORATION
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
NATIONAL PLANNING CORPORATION
CRD#: 29604 / SEC#: 801-41015, 8-44435
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC. | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VICE PRESIDENT | 4298287 |
| COLLINS, MAURA KATHRYN | SVP/CFO- NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT AND CEO OF NATIONAL PLANNING HOLDINGS, INC.; DIRECTOR | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL AND SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| JOHNSON, JOHN CHARLES | PRESIDENT/CEO/DIRECTOR | 2079852 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP/FINOP CONTROLLER | 4800775 |
| MARTINEZ, WENDY TAMIE | SVP OPERATIONS | 2668422 |
| MCCALLOP, PATRICIA ANN | NPH AND NPC SVP CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP, OPERATIONS | 1955960 |
| STONE, JEREMY MICHAEL | VICE PRESIDENT COMPLIANCE | 5000139 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 6 |
| Bond | 1 |
Red Flags
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