Glenn M. Barnes
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 Marshall Barnes was a registered financial professional .
Glenn is a previously registered financial professional and started their career in finance in 1988. Glenn had worked at 9 firms and has passed the 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
December 19, 2016 - December 20, 2016
THE LEADERS GROUP, INC.
December 1, 2005 - December 22, 2014
KESTRA INVESTMENT SERVICES, LLC
March 5, 2003 - December 13, 2004
VP DISTRIBUTORS LLC
March 27, 1996 - October 7, 2003
WS GRIFFITH SECURITIES, INC.
October 25, 1991 - April 15, 1996
MUTUAL SERVICE CORPORATION
June 10, 1989 - May 28, 1991
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
June 10, 1989 - May 28, 1991
EQUITABLE ADVISORS, LLC
October 13, 1988 - December 5, 1988
IDS LIFE INSURANCE COMPANY
October 13, 1988 - December 5, 1988
AMERIPRISE FINANCIAL SERVICES, LLC
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
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
