Glenn Aufrichtig
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 Aufrichtig was a registered financial professional .
Glenn is a previously registered financial professional and started their career in finance in 1993. Glenn had worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 53, Series 24 and Series 14 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 2, 2012 - March 21, 2018
APW CAPITAL, INC.
March 31, 2011 - July 10, 2012
GARDEN STATE SECURITIES, INC.
March 23, 2007 - April 10, 2008
OSAIC WEALTH, INC.
April 3, 2006 - June 8, 2006
GOLDMAN SACHS & CO. LLC
September 15, 2004 - January 19, 2006
NF CLEARING, INC.
July 2, 2002 - December 31, 2003
PRUCO SECURITIES, LLC.
October 27, 1997 - July 23, 2002
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
September 14, 1994 - May 6, 1997
EXECUTIVE INVESTORS CORPORATION
May 9, 1994 - May 6, 1997
FORESTERS FINANCIAL SERVICES, INC.
February 19, 1993 - January 6, 1994
RYAN BECK & CO.
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
APW CAPITAL, INC.
CRD#: 43814 / SEC#: , 8-50433
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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