Glenn D. Whaley
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.
Glenn David Whaley was a registered financial professional .
Glenn is a previously registered financial professional and started their career in finance in 1984. Glenn had worked at 11 firms and has passed the Series 63, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 25, 1990 - January 28, 1991
KOCHCAPITAL
March 12, 1990 - May 17, 1990
PARKER JAMESON, INC.
August 29, 1988 - January 1, 1990
H. T. FLETCHER SECURITIES INCORPORATED
May 27, 1988 - September 14, 1988
ALLIED CAPITAL GROUP, INC.
November 18, 1987 - June 4, 1988
FITZGERALD, TALMAN, INC.
October 30, 1987 - November 17, 1987
BERKELEY SECURITIES CORPORATION
July 6, 1987 - October 28, 1987
BRADSTREET CAPITAL, INC.
January 21, 1987 - July 17, 1987
FITZGERALD, DEARMAN & ROBERTS, INC.
July 8, 1986 - February 20, 1987
CROMWELL, KNIGHT & CO., INC.
March 27, 1985 - June 12, 1987
ROTHSCHILD EQUITY MANAGEMENT GROUP, INC.
November 16, 1984 - April 4, 1985
COMSTOCK INVESTMENTS, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
KOCHCAPITAL
CRD#: 21038 / SEC#: , 8-38918
Contact information
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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