Douglas A. Glaser
Professional summary
Douglas Alan Glaser was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Douglas is a previously registered financial professional and started their career in finance in 1990. Prior to being barred, Douglas had worked at 9 firms, which includes PATTERSON TRAVIS INC., J. A. OVERTON & CO. INC., GILBERT MARSHALL & COMPANY, CENTEX SECURITIES INCORPORATED, SCHNEIDER SECURITIES INC., FAIRCHILD FINANCIAL GROUP INC., SMITH BENTON & HUGHES INC., NTB FINANCIAL CORPORATION, MALONE & ASSOCIATES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 31, 1996 - August 22, 1996
PATTERSON TRAVIS, INC.
November 4, 1994 - December 7, 1994
J. A. OVERTON & CO., INC.
August 8, 1994 - November 14, 1994
GILBERT MARSHALL & COMPANY
May 3, 1993 - November 18, 1993
CENTEX SECURITIES, INCORPORATED
June 27, 1991 - May 3, 1993
SCHNEIDER SECURITIES, INC.
June 13, 1991 - June 27, 1991
FAIRCHILD FINANCIAL GROUP, INC.
March 21, 1991 - June 12, 1991
SMITH, BENTON & HUGHES, INC.
January 24, 1991 - March 27, 1991
NTB FINANCIAL CORPORATION
December 3, 1990 - February 22, 1991
MALONE & ASSOCIATES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
PATTERSON TRAVIS, INC.
CRD#: 16540 / SEC#: , 8-34364
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
| Arbitration | 3 |
Red Flags
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