Glenn M. Stroud

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CRD#: 2178390

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.

Glenn Martin Stroud, CFP® was a registered financial professional .

Glenn is a previously registered financial professional and started their career in finance in 1992. Glenn had worked at 6 firms and has passed the Series 66, Series 63, 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)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Experience

Past

October 25, 2019 - December 8, 2021

FACET

RIA

CRD#: 285961

Charlotte, NC

Past

July 9, 2004 - March 3, 2006

MONY SECURITIES CORPORATION

CRD#: 4386

NEW YORK, NY

Past

August 25, 2000 - August 21, 2006

EQUITABLE ADVISORS, LLC

CRD#: 6627

ALPHARETTA, GA

Past

December 15, 1998 - June 22, 1999

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

PHILADELPHIA, PA

Past

January 3, 1996 - May 5, 1998

FIFTH THIRD SECURITIES, INC.

CRD#: 3155

CINCINNATI, OH

Past

November 3, 1992 - January 5, 1996

DUPREE & COMPANY, INC.

CRD#: 1697

LEXINGTON, KY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

FACET

CRD#: 285961 / SEC#: 801-108767

RIA

Registered Investment Advisory firm - (12/15/2016 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/22/2000

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/13/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/30/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/19/2003

General Securities Principal Examination

Current Firm

FACET

CRD#: 285961 / SEC#: 801-108767

RIA

Registered Investment Advisory firm - (12/15/2016 Approved)

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Contact information

Main Address

400 East Pratt Street 8th Floor, Baltimore, MD 21202

Mailing Address

Phone number

(443) 376-6222

Established

Firm type

Fiscal year end

# of Employees

174

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (10/1/2025)

Regulatory assets under management

Total Number of Accounts	36,817
AUM (Assets Under Management)	$ 4,754,146,771

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
04/29/2025	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Glenn M. Stroud

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MONY SECURITIES CORPORATION

EQUITABLE ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

FIFTH THIRD SECURITIES, INC.

DUPREE & COMPANY, INC.

Primary Firm SEC Registration

FACET

State Registrations and Notice Filings

Exams

Series 66

Date: 12/22/2000

Series 63

Date: 10/13/1992

Series 7

Date: 10/30/1992

Series 24

Date: 8/19/2003

Current Firm

FACET

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

FACET

TRUST BUT VERIFY

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