Neil O. Glassmoyer
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.
Neil Owen Glassmoyer was a registered financial professional .
Neil is a previously registered financial professional and started their career in finance in 1987. Neil had worked at 8 firms and has passed the Series 66, Series 65, Series 63, SIE, 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 24, 2016 - July 31, 2017
MADISON AVENUE SECURITIES, LLC
July 5, 2016 - July 31, 2017
MADISON AVENUE SECURITIES, LLC
March 22, 2006 - December 31, 2009
MADISON AVENUE SECURITIES, LLC
October 31, 2005 - March 28, 2006
OSAIC SERVICES, INC.
June 23, 2003 - October 31, 2005
SUNAMERICA SECURITIES, INC.
February 7, 2000 - July 18, 2003
JANNEY MONTGOMERY SCOTT LLC
July 17, 1997 - February 7, 2000
PRUDENTIAL EQUITY GROUP, LLC
January 23, 1995 - July 25, 1997
CITIGROUP GLOBAL MARKETS INC.
February 18, 1992 - April 7, 1992
U.S. SECURITIES CLEARING CORP.
October 21, 1987 - January 13, 1988
AMERICAN FRONTEER FINANCIAL CORPORATION
Primary Firm SEC Registration
MADISON AVENUE SECURITIES, LLC
CRD#: 23224 / SEC#: 801-69919, 8-40426
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
MADISON AVENUE SECURITIES, LLC
CRD#: 23224 / SEC#: 801-69919, 8-40426
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KT EQUITY PARTNERS II, LLC | DIRECT OWNER | |
| CALLANAN, DAVID JAMES | MANAGER | 4237166 |
| FIXSEN, VILAYPHONE | CHIEF OPERATING OFFICER | 4585926 |
| JENSEN, GAIL MARIE | DEPUTY CHIEF COMPLIANCE OFFICER | 1943705 |
| MCNEES, MARTIN WILLIAM | PRESIDENT | 3168410 |
| PIERSON, MELISSA KAY | CHIEF COMPLIANCE OFFICER | 1685017 |
| WOODS, SANDRA ANN | FINOP | 6200533 |
Regulatory assets under management
| Total Number of Accounts | 14,100 |
| AUM (Assets Under Management) | $ 2,038,801,712 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
