Daniel L. Glazier
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.
Daniel Lee Glazier, who also goes by Dan Glazier, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1989. Daniel had worked at 9 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 4, 1996 - January 12, 1998
FFP SECURITIES, INC.
July 2, 1996 - September 6, 1996
CAPITAL INVESTMENT GROUP, INC.
November 7, 1994 - July 3, 1996
ROBERT THOMAS SECURITIES, INC
December 9, 1992 - November 22, 1994
METROPOLITAN LIFE INSURANCE COMPANY
December 9, 1992 - November 22, 1994
MSI FINANCIAL SERVICES, INC.
November 27, 1991 - June 23, 1992
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
November 27, 1991 - June 23, 1992
OSAIC FA, INC.
June 16, 1989 - November 15, 1991
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
June 16, 1989 - November 15, 1991
PRUCO SECURITIES, 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
FFP SECURITIES, INC.
CRD#: 16337 / SEC#: , 8-33728
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVANCED EQUITIES FINANCIAL CORP. | 100% OWNERSHIP | |
| DOZA, JANICE M | CFO | 4663841 |
| FINDALL, LINDA SUE | SROP | 1187842 |
| FRIEDMAN, TIMOTHY NATHAN | CROP | 1967603 |
| HAEDIKE, CHRISTINE D | CCO, DIRECTOR, FFP SECURITIES, INC. | 2489703 |
| HATTON, ROBERT ALLAN | CHIEF OPERATING OFFICER | 1985166 |
| JUNKINS, CRAIG ALLEN | CEO/PRESIDENT/CHAIRMAN OF THE BOARD | 830565 |
| RODERMUND, ROBIN HENRY | DIRECTOR, FFP SECURITIES, INC. | 2097379 |
| YANNAKAKIS, ANNE KANELA | CHIEF LEGAL OFFICER | 4197441 |
Disclosures
| Regulatory Event | 38 |
| Arbitration | 10 |
| Bond | 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.
