Richard C. Glenn
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.
Richard Channing Glenn, who also goes by Dicky Glenn, Richard Channing Glenn Sr, Richard Channing Glenn, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1986. Richard had worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 17, 2018 - January 2, 2020
CHELSEA FINANCIAL SERVICES
May 6, 2016 - May 15, 2018
NATIONAL SECURITIES CORPORATION
January 2, 2013 - May 26, 2016
RIDGEWAY & CONGER, INC.
July 2, 2007 - December 31, 2012
FORTUNE FINANCIAL SERVICES, INC.
August 1, 1991 - July 5, 2007
SECURITIES AMERICA, INC.
January 2, 1991 - August 2, 1991
IFG NETWORK SECURITIES, INC.
July 10, 1989 - December 31, 1990
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
April 28, 1987 - July 17, 1989
FSC SECURITIES CORPORATION
June 25, 1986 - May 20, 1987
AMERIPRISE FINANCIAL SERVICES, LLC
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
CHELSEA FINANCIAL SERVICES
CRD#: 47770 / SEC#: , 8-51916
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
