Glen Garriton
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.
Glen Garriton, who also goes by Glen Joseph Garriton, was a registered financial professional .
Glen is a previously registered financial professional and started their career in finance in 1973. Glen had worked at 12 firms and has passed the Series 63, Series 55, PC, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 14, 2012 - May 1, 2013
WTS PROPRIETARY TRADING GROUP LLC
January 6, 2012 - May 9, 2012
T3 TRADING GROUP, LLC
May 28, 2008 - October 3, 2011
VIEWTRADE SECURITIES, INC.
January 17, 2008 - June 4, 2008
INVEST FINANCIAL CORPORATION
April 23, 2007 - December 14, 2007
GENESIS SECURITIES, LLC
October 10, 2006 - January 4, 2007
WINDSOR STREET CAPITAL, LP
October 18, 2005 - September 14, 2006
FAGENSON & CO., INC.
May 10, 2004 - August 23, 2005
TRADITION SECURITIES AND DERIVATIVES LLC
February 24, 2004 - May 7, 2004
GRANTA CAPITAL GROUP LLC
April 24, 2002 - February 23, 2004
TRADITION SECURITIES AND DERIVATIVES LLC
March 15, 2002 - July 24, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 6, 1987 - April 29, 2002
HERZOG, HEINE, GEDULD, LLC
June 29, 1984 - March 7, 1985
ENGLANDER CAPITAL CORP.
January 2, 1973 - April 23, 1984
HERZOG, HEINE, GEDULD, LLC
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
Series 55
Date: 9/1/1999
Limited Representative-Equity Trader ExamPC
Date: 7/1/1979
AMEX Put and Call ExamSeries 1
Date: 12/21/1972
Registered Representative ExaminationCurrent Firm
WTS PROPRIETARY TRADING GROUP LLC
CRD#: 148117 / SEC#: , 8-67986
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
Red Flags
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