Seth Joel Glaser
Professional Summary
Seth Joel Glaser was a registered financial advisor. Seth was a previously registered financial professional and started their career in finance 1992 - 1999. Seth had worked at 8 firms and has passed the Series 65, Series 63 and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
34 years in the financial services industry
Current & Past Employments
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Current Firm
FLEET ENTERPRISES, INC. | NATWEST USA BROKERAGE SERVICES CORPORATION | NATWEST INVESTOR SERVICES CORPORATION
Contact Information
Established
New York since 10/22/1985Firm Type
CorporationFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FLEET BANK NATIONAL ASSOCIATION | SOLE SHAREHOLDER | — |
| BOTT, ROBERT LAWRENCE | VICE PRESIDENT | 1079745 |
| FROUDE, DONALD EDMUND | PRESIDENT | 1002120 |
| GAY, WILLIAM GEORGE | FINOP | 2899820 |
| GUARCELLO, ANTHONY PETER | VICE PRESIDENT | 2609273 |
| HUDSON, JOHN THOMAS | MUNICIPAL PRINCIPAL | 1608999 |
| LABARBERA, SALVATORE | DIRECTOR, VICE PRESIDENT AND SROP/CROP | 872226 |
| MERCURIO, PASCAL JAMES | CHAIRMAN & DIRECTOR | 825595 |
| NIGROSH, DIANE JOY | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT & SECRETARY | 863863 |
| QUICK, LESLIE CHARLES III | VICE PRESIDENT & DIRECTOR | 1079748 |
| QUICK, THOMAS CLARKSON | DIRECTOR | 1079750 |
Disclosures
Regulatory Event
11Arbitration
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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