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LB

Lee S. Buckner

Some features on this profile are disabled
CRD#: 1949754
LB

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.

Lee Shelley Buckner was a registered financial professional .

Lee is a previously registered financial professional and started their career in finance in 1989. Lee had worked at 3 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

November 18, 2010 - December 21, 2024

GLC SECURITIES, LLC

BD
CRD#: 153581
SAN FRANCISCO, CA
Past

December 22, 1992 - June 22, 2006

BNP PARIBAS SECURITIES CORP.

BD
CRD#: 15794
NEW YORK, NY
Past

June 20, 1989 - March 13, 1991

DB ALEX. BROWN LLC

BD
CRD#: 17790
BALTIMORE, MD

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/6/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/17/1989
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/19/2010
General Securities Principal Examination

Current Firm

GS
GLC SECURITIES, LLC
GLC SECURITIES, LLC | GLCA SECURITIES, LLC

CRD#: 153581 / SEC#: , 8-68557

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
600 Lexington Avenue 9th Floor, New York, NY 10022
Mailing Address
600 Lexington Avenue 9th Floor, New York, NY 10022
Phone number
(212) 542-4540
Established
Delaware since 08/12/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
GLC ADVISORS & CO. HOLDINGS, LLCOWNER
BENNINGER, THOMAS MICHAELPRINCIPAL
HAN, ABRAHAM TPRINCIPAL
KINZER, CAROL ANNFINOP/CFO4519471
REYNERTSON, JON SORENPRINCIPAL/CEO/CCO

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.

Company Information

GLC SECURITIES, LLC

CRD#: 153581

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