Glenice E. Vipond
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.
Glenice Elaine Vipond, who also goes by Glennie VIpond, was a registered financial professional .
Glenice is a previously registered financial professional and started their career in finance in 1990. Glenice had worked at 7 firms and has passed the Series 63, SIE 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
January 9, 2014 - June 19, 2019
LFA
August 17, 2001 - June 17, 2019
CAMBRIDGE INVESTMENT RESEARCH, INC.
July 1, 1997 - August 20, 2001
SUNAMERICA SECURITIES, INC.
April 16, 1996 - July 1, 1997
MARINER FINANCIAL SERVICES, INC.
April 1, 1993 - April 16, 1996
SECURITIES AMERICA, INC.
July 13, 1990 - April 14, 1993
INVESTORS BROKERAGE SERVICES, INC.
February 27, 1990 - July 11, 1990
CRI SECURITIES, LLC
Primary Firm SEC Registration
LFA
CRD#: 114674 / SEC#: 801-63115
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
LFA
CRD#: 114674 / SEC#: 801-63115
Contact information
SEC notice filing (5 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 803 |
| AUM (Assets Under Management) | $ 309,222,813 |
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.
