Adam T. Haynes

GLC SECURITIES

Denver, CO 80202

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CRD#: 2085481

Professional summary

Adam Tudor Haynes is a registered financial professional currently at GLC SECURITIES, LLC located in Denver, Colorado.

Adam is registered as a RR (Registered Representative) and started their career in finance in 1992. Adam has worked at 9 firms and has passed the Series 63, SIE, 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 Adam Tudor Haynes'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

July 13, 2016 - Present

GLC SECURITIES, LLC

Office #1: 1125 17th Street Suite 2340, Denver, CO 80202

CRD#: 153581

Denver, CO

Past

June 26, 2014 - March 8, 2016

KPMG CORPORATE FINANCE LLC

CRD#: 103973

DENVER, CO

Past

April 27, 2005 - July 1, 2014

ST. CHARLES CAPITAL, LLC

CRD#: 133685

DENVER, CO

Past

May 10, 2004 - April 6, 2005

KEYBANC CAPITAL MARKETS INC.

CRD#: 566

CLEVELAND, OH

Past

August 1, 2000 - November 18, 2002

PIPER SANDLER & CO.

CRD#: 665

MINNEAPOLIS, MN

Past

August 5, 1997 - August 11, 2000

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

Past

June 18, 1993 - August 9, 1995

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

August 14, 1992 - March 24, 1993

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

February 25, 1992 - June 19, 1992

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

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
(7/13/2016)

Colorado
(7/28/2016)

New York
(7/13/2016)

Exams

State Security Law Exam

Series 63

Date: 3/4/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/24/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/25/2014

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

GLC SECURITIES, LLC

GLC SECURITIES, LLC | GLCA SECURITIES, LLC

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

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)

Documents

Direct owners and executive officers

Name	Position	CRD#
GLC ADVISORS & CO. HOLDINGS, LLC	OWNER
BENNINGER, THOMAS MICHAEL	PRINCIPAL
HAN, ABRAHAM T	PRINCIPAL
KINZER, CAROL ANN	FINOP/CFO	4519471
REYNERTSON, JON SOREN	PRINCIPAL/CEO/CCO

Red Flags

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Firm Stability Insights

Adam T. Haynes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Adam Tudor Haynes's CRS (Customer Relationship Summary).

Certified licenses

Experience

KPMG CORPORATE FINANCE LLC

ST. CHARLES CAPITAL, LLC

KEYBANC CAPITAL MARKETS INC.

PIPER SANDLER & CO.

J.P. MORGAN SECURITIES INC.

CHARLES SCHWAB & CO., INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

LEHMAN BROTHERS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/4/1992

SIE

Date: 10/1/2018

Series 7

Date: 2/24/1992

Series 24

Date: 8/25/2014

FINRA

Current Firm

GLC SECURITIES, LLC

Contact information

FINRA licenses (3 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

GLC SECURITIES, LLC

TRUST BUT VERIFY

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