Glenn B. Trieff
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 Barry Trieff, who also goes by Glenn Barry Trieff, Glenn B Trieff, was a registered financial professional .
Glenn is a previously registered financial professional and started their career in finance in 1987. Glenn had worked at 14 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 9, Series 10, Series 4 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 24, 2021 - August 25, 2023
LINCOLN INVESTMENT
November 24, 2021 - August 25, 2023
CAPITAL ANALYSTS
November 24, 2021 - August 25, 2023
LINCOLN INVESTMENT
September 17, 2019 - December 4, 2019
ALLSTATE FINANCIAL ADVISORS, LLC
September 17, 2019 - December 4, 2019
ALLSTATE FINANCIAL SERVICES, LLC
December 4, 2015 - August 7, 2018
HSBC SECURITIES (USA) INC.
December 4, 2015 - August 7, 2018
HSBC SECURITIES (USA) INC.
December 2, 2013 - May 12, 2015
STRATEGIC ADVISERS LLC
February 27, 2013 - May 8, 2015
FIDELITY BROKERAGE SERVICES LLC
March 16, 2007 - February 12, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
October 4, 2006 - March 12, 2007
CHASE INVESTMENT SERVICES CORP.
October 4, 2006 - March 12, 2007
CHASE INVESTMENT SERVICES CORP.
December 16, 2005 - October 4, 2006
BNY INVESTMENT CENTER INC.
January 22, 2004 - December 13, 2005
TD WEALTH MANAGEMENT SERVICES INC.
January 22, 2004 - December 13, 2005
TD WEALTH MANAGEMENT SERVICES INC.
December 12, 2002 - January 23, 2004
WAMU INVESTMENTS, INC.
August 29, 2002 - December 16, 2002
QUICK & REILLY, INC.
October 6, 1987 - October 21, 1987
THE STUART-JAMES COMPANY, INCORPORATED
October 6, 1987 - December 16, 2002
QUICK & REILLY, INC.
Primary Firm SEC Registration
LINCOLN INVESTMENT
CRD#: 519 / SEC#: 801-14059, 8-14354
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 8
Date: 12/16/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
LINCOLN INVESTMENT
CRD#: 519 / SEC#: 801-14059, 8-14354
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | MEMBER/OWNER | |
| ALEXANDER, DANIEL SEAN | EXECUTIVE VICE-PRESIDENT, CHIEF BUSINESS DEVELOPMENT OFFICER | 4051341 |
| BUETI, ANTHONY CHARLES | SENIOR VICE-PRESIDENT, OPERATIONS & SERVICE/ PRINCIPAL OPERATIONS OFFICER | 5876104 |
| BURA, KAREN DOUGHERTY | VICE-PRESIDENT, CONTROLLER | 1666006 |
| ESTES, JASON CHRISTOPHER | EXECUTIVE VICE-PRESIDENT, CHIEF INFORMATION & TECHNOLOGY OFFICER | 7485210 |
| FLAX, STEVEN NEIL | EXECUTIVE VICE-PRESIDENT, CHIEF HUMAN RESOURCES OFFICER | 5655474 |
| FORST, EDWARD SAMUEL JR | ELECTED MANAGER/CEO | 708024 |
| LECKEY, KATHLEEN KINSLOW | PRESIDENT, CHIEF OPERATING OFFICER | 2447809 |
| MATTSON, MAUREEN ANN | EXECUTIVE VICE-PRESIDENT, GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER | 5952728 |
| MCCARTHY, DIANE MULHERRIN | EXECUTIVE VICE-PRESIDENT/CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/ELECTED MANAGER | 4923328 |
| MEHROTRA, SHASHI | SENIOR VICE-PRESIDENT, CHIEF INVESTMENT OFFICER | 2640875 |
| OBERLIES, SUSAN MARY | SENIOR VICE-PRESIDENT, CORPORATE COUNSEL/SECRETARY | 3009149 |
Regulatory assets under management
| Total Number of Accounts | 201,292 |
| AUM (Assets Under Management) | $ 18,904,482,714 |
Disclosures
| Regulatory Event | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/28/2024 | ||
| 09/27/2023 | ||
| 03/29/2023 |
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.
