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GM

Glen S. Monroe

Some features on this profile are disabled
CRD#: 1478053
GM

Professional summary

Glen Scott Monroe was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Glen is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, Glen had worked at 9 firms, which includes RUMSON CAPITAL LLC, ICAP/INVESTMENT SERVICES AND TRADING LLC, THE AGEAN GROUP INC, WILLIAM SCOTT & CO. L.L.C., WEST AMERICA SECURITIES CORP, STOCKTON EQUITIES GROUP, BRIARWOOD INVESTMENT COUNSEL, MILLENNIUM SECURITIES CORP., GRAYSON FINANCIAL LLC.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Scott Monroe

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

February 16, 2000 - October 26, 2001

RUMSON CAPITAL, LLC

BD
CRD#: 33848
MONTEBELLO, NY
Past

February 18, 1999 - February 17, 2000

ICAP/INVESTMENT SERVICES AND TRADING, LLC

BD
CRD#: 31271
HAVERSTRAW, NY
Past

January 19, 1999 - February 10, 1999

THE AGEAN GROUP, INC

BD
CRD#: 30835
BOCA RATON, FL
Past

June 9, 1998 - February 3, 1999

ICAP/INVESTMENT SERVICES AND TRADING, LLC

BD
CRD#: 31271
HAVERSTRAW, NY
Past

November 24, 1997 - May 1, 1998

WILLIAM SCOTT & CO. L.L.C.

BD
CRD#: 14979
UNION, NJ
Past

August 26, 1997 - December 3, 1997

WEST AMERICA SECURITIES CORP

BD
CRD#: 35035
LAS VEGAS, NV
Past

July 24, 1997 - August 26, 1997

STOCKTON EQUITIES GROUP

BD
CRD#: 18262
SAN DIEGO, CA
Past

July 3, 1997 - July 21, 1997

BRIARWOOD INVESTMENT COUNSEL

BD
CRD#: 6368
NEW YORK, NY
Past

April 3, 1997 - May 19, 1997

MILLENNIUM SECURITIES CORP.

BD
CRD#: 31695
NEW YORK, NY
Past

February 14, 1995 - December 5, 1995

RUMSON CAPITAL, LLC

BD
CRD#: 33848
MONTEBELLO, NY
Past

October 15, 1993 - February 14, 1995

GRAYSON FINANCIAL LLC

BD
CRD#: 11764
RED BANK, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 1/21/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 55
Date: 5/13/1999
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 10/14/1993
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 10/14/1988
National Commodity Futures Examination
Principal/Supervisory Exam
RR
Series 4
Date: 5/18/1999
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/22/1994
General Securities Principal Examination

Current Firm

RC
RUMSON CAPITAL, LLC
ANDOVER BROKERAGE CORP. | RUMSON CAPITAL, LLC | ANDOVER BROKERAGE, L.L.C.

CRD#: 33848 / SEC#: , 8-46133

BD
Terminated by SEC on 06/16/2003
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 01/02/1997
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
PICOZZI, MICHAEL IIIMANAGING MEMBER/CEO2504808
NOCELLA, EDWARD LOUISFNOP1519789

Disclosures

Regulatory Event7

Red Flags

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.

Company Information

RUMSON CAPITAL, LLC

CRD#: 33848

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