Glen F. Buttacavoli
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.
Glen Francis Buttacavoli was a registered financial advisor .
Glen is a previously registered financial advisor and started their career in finance in 1985. Glen had worked at 7 firms and has passed the Series 65, 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
April 24, 2008 - July 8, 2009
SOUTHEAST INVESTMENTS, N.C., INC.
January 22, 2003 - January 31, 2008
WESTMINSTER FINANCIAL ADVISORY CORP
August 9, 2001 - January 31, 2008
WESTMINSTER FINANCIAL SECURITIES, INC.
February 1, 1995 - August 1, 2001
VERAVEST INVESTMENTS, INC.
April 6, 1994 - February 9, 1995
ASSIST INVESTMENT MANAGEMENT COMPANY, INC.
October 30, 1993 - April 5, 1994
CUNA BROKERAGE SERVICES, INC.
October 3, 1985 - October 29, 1993
CENTURY INVESTORS OF AMERICA, 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
SOUTHEAST INVESTMENTS, N.C., INC.
CRD#: 43035 / SEC#: , 8-50127
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 3 |
| Arbitration | 3 |
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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