Eric D. Glass

PENSERRA SECURITIES

Orinda, CA 94563

Some features on this profile are disabled

CRD#: 1961821

Professional summary

Eric David Glass is a registered financial professional currently at PENSERRA SECURITIES, LLC located in Orinda, California.

Eric is registered as a RR (Registered Representative) and started their career in finance in 1989. Eric has worked at 8 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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) - BD

Click below to view Eric David Glass's CRS (Customer Relationship Summary).

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

Current

August 1, 2023 - Present

PENSERRA SECURITIES, LLC

Office #1: 4 Orinda Way Suite 100-a, Orinda, CA 94563

CRD#: 145994

Orinda, CA

Past

November 28, 2016 - August 10, 2023

MORGAN STANLEY & CO. LLC

CRD#: 8209

San Francisco, CA

Past

July 1, 2013 - December 26, 2017

MORGAN STANLEY

CRD#: 149777

San Francisco, CA

Past

March 14, 2000 - October 30, 2008

MORGAN STANLEY MARKET PRODUCTS INC.

CRD#: 19794

SAN FRANCISCO, CA

Past

March 14, 2000 - July 8, 2013

MORGAN STANLEY & CO. LLC

CRD#: 8209

SAN FRANCISCO, CA

Past

October 1, 1998 - March 2, 2000

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

Past

February 7, 1994 - October 1, 1998

BANCAMERICA SECURITIES, INC.

CRD#: 17977

SAN FRANCISCO, CA

Past

August 11, 1989 - August 21, 1991

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

June 20, 1989 - June 27, 1989

GLOBALVEST SECURITIES, (USA), INC

CRD#: 15458

CLEARWATER, FL

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(8/1/2023)

Illinois
(8/1/2023)

New York
(8/1/2023)

Exams

State Security Law Exam

Series 63

Date: 2/8/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 6/17/2013

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 2/4/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/9/2025

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

SRO Registrations

NYSE Texas, Inc.

SRO Registrations

Nasdaq Stock Market

Current Firm

PENSERRA SECURITIES, LLC

PENSERRA SECURITIES | PENSERRA SECURITIES, LLC

CRD#: 145994 / SEC#: , 8-67773

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

4 Orinda Way Suite 100-a, Orinda, CA 94563

Mailing Address

4 Orinda Way Suite 100-a, Orinda, CA 94563

Phone number

(646) 459-0581

Established

New York since 02/27/2007

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (17 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
PENSERRA FINANCIAL VENTURES LLC	HOLDING COMPANY / MEMBER
CASTELLI, ANTHONY NMN	COO	4409925
GEIGER, LEE WILSON	FINOP	1552293
JOSEPH, ELOIS L'KEKSHA	CCO	5449352
MADRIGAL, JORGE NMN	PRESIDENT & CEO / MEMBER	3204950

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.

Similar Advisors

John Israel

STRATEGIC ADVISERS LLC

IAR

SAN RAMON, CA

Jason Cooke

EDELMAN FINANCIAL ENGINES

IAR

DANVILLE, CA

Maximilian Soares

J.P. MORGAN SECURITIES LLC

San Francisco, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Eric D. Glass

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Eric David Glass's CRS (Customer Relationship Summary).

Certified licenses

Experience

MORGAN STANLEY & CO. LLC

MORGAN STANLEY

MORGAN STANLEY MARKET PRODUCTS INC.

MORGAN STANLEY & CO. LLC

BANC OF AMERICA SECURITIES LLC

BANCAMERICA SECURITIES, INC.

MORGAN STANLEY DW INC.

GLOBALVEST SECURITIES, (USA), INC

State Registrations and Notice Filings

Exams

Series 63

Date: 2/8/1994

SIE

Date: 10/1/2018

Series 3

Date: 6/17/2013

Series 7

Date: 2/4/1994

Series 24

Date: 1/9/2025

FINRA

Investors' Exchange LLC

NYSE Texas, Inc.

Nasdaq Stock Market

Current Firm

PENSERRA SECURITIES, LLC

Contact information

FINRA licenses (17 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

PENSERRA SECURITIES, LLC

TRUST BUT VERIFY

Similar Advisors