Glenn H. Guthrie
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 Harold Guthrie, who also goes by Glenn H Guthrie, was a registered financial professional .
Glenn is a previously registered financial professional and started their career in finance in 1986. Glenn had worked at 7 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
January 2, 2009 - June 12, 2015
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
February 8, 2008 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 18, 2008 - June 12, 2015
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 1, 2003 - January 23, 2008
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - January 23, 2008
WELLS FARGO CLEARING SERVICES, LLC
August 9, 2001 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
June 15, 2001 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
August 14, 2000 - July 13, 2001
UBS FINANCIAL SERVICES INC.
June 10, 1994 - August 14, 2000
J.C. BRADFORD & CO.
October 2, 1991 - July 1, 1994
CITIGROUP GLOBAL MARKETS INC.
July 23, 1986 - October 9, 1991
J.C. BRADFORD & CO.
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
