Glenn E. Essert
Professional summary
Glenn Edward Essert, who also goes by Glenn Essert, is a registered financial professional currently at STERN BROTHERS & CO. located in St. Louis, Missouri.
Glenn is registered as a RR (Registered Representative) and started their career in finance in 1986. Glenn has worked at 11 firms and has passed the Series 65, Series 63, Series 79TO, Series 52TO, Series 57TO, Series 50, SIE, Series 7, Series 9, Series 10, Series 54, Series 53, Series 14, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Glenn Edward Essert's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 21, 2022 - Present
STERN BROTHERS & CO.
Office #1: 8000 Maryland Avenue Suite 800, St. Louis, MO 63105May 2, 2022 - July 20, 2022
BOENNING & SCATTERGOOD, INC.
October 22, 2019 - July 20, 2022
BOENNING & SCATTERGOOD, INC.
November 9, 2016 - November 21, 2017
BARCLAYS CAPITAL INC.
December 8, 2008 - November 9, 2016
UBS FINANCIAL SERVICES INC.
May 3, 2005 - December 22, 2008
BARCLAYS CAPITAL INC.
October 24, 2001 - May 12, 2005
CITIGROUP GLOBAL MARKETS PUERTO RICO INC.
July 5, 1994 - May 12, 2005
CITIGROUP GLOBAL MARKETS INC.
March 15, 1990 - March 8, 1994
HYM FINANCIAL, INC.
October 12, 1989 - March 14, 1990
FOCUS II SECURITIES, INC.
August 20, 1986 - August 28, 1989
CADARET, GRANT & CO., INC.
June 3, 1986 - August 28, 1986
CARDELL & ASSOCIATES, INCORPORATED
February 19, 1986 - June 5, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/21/2022)
(7/21/2022)
(7/21/2022)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 8
Date: 3/8/1996
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
STERN BROTHERS & CO.
CRD#: 16325 / SEC#: , 8-33724
Contact information
FINRA licenses (41 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PEGGY P FINN REVOCABLE TRUST DTD 11-7-1996 AS AMENDED | TRUST | |
| PEGGY P. FINN 2012 TRUST DATED 12-21-2012 | TRUST | |
| CLEMENTS, DONALD SIDNEY | CHIEF TECHNOLOGY OFFICER | 4440518 |
| ESSERT, GLENN EDWARD | CHIEF COMPLIANCE OFFICER, AMLCO | 1447868 |
| FINN, PEGGY PRINCE | CHAIRMAN OF THE BOARD, DIRECTOR, CEO, SECRETARY, TRUSTEE | 730640 |
| FINN, TERRENCE MICHAEL | PRESIDENT, DIRECTOR | 1102166 |
| MIRIANI, JASON ANDREW | CFO, TREASURER | 4547660 |
| WARREN, KAREN KAY | PRINCIPAL OPERATIONS OFFICER | 1316200 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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Company Information
STERN BROTHERS & CO.
CRD#: 16325St. Louis, MO 63105TRUST BUT VERIFY
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