Glen Y. Dubrowsky
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.
Glen Yvon Dubrowsky, who also goes by Glen Yvon Dubrowsky, Glen Dubrowsky, was a registered financial professional .
Glen is a previously registered financial professional and started their career in finance in 1986. Glen had worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 9, 2023 - November 15, 2024
TD PRIVATE CLIENT WEALTH LLC
August 8, 2023 - November 15, 2024
TD PRIVATE CLIENT WEALTH LLC
March 21, 2023 - August 17, 2023
MORGAN STANLEY
September 5, 2019 - August 21, 2023
HARRISDIRECT LLC
August 26, 2019 - August 18, 2023
E*TRADE SECURITIES LLC
October 8, 2018 - April 2, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 8, 2018 - April 2, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 17, 2017 - March 8, 2018
SCOTTRADE INVESTMENT MANAGEMENT
January 2, 2003 - March 8, 2018
SCOTTRADE, INC.
January 6, 1994 - April 10, 2002
SCHONFELD SECURITIES, LLC
October 7, 1987 - October 17, 1988
THOMSON MCKINNON SECURITIES INC.
February 6, 1987 - August 6, 1987
LEHMAN BROTHERS INC.
January 2, 1987 - February 25, 1987
J. W. GANT & ASSOCIATES, INC.
October 23, 1986 - January 2, 1987
MICHELIN AND COMPANY, INC.
Primary Firm SEC Registration
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
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
Series 55
Date: 4/10/2000
Limited Representative-Equity Trader ExamCurrent Firm
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 17,824 |
| AUM (Assets Under Management) | $ 6,450,375,507 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/30/2025 | ||
| 09/27/2024 | ||
| 06/27/2023 | ||
| 12/21/2022 |
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.
