Seth J. Glaser
Professional summary
Seth Joel Glaser was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Seth is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, Seth had worked at 8 firms, which includes FLEET ENTERPRISES INC., JOSEPHTHAL & CO. INC., IDS LIFE INSURANCE COMPANY, AMERIPRISE FINANCIAL SERVICES LLC, GLOBAL CAPITAL MARKETS LLC, RENAISSANCE FINANCIAL SECURITIES CORP., DICKINSON & CO., ROBERT TODD FINANCIAL CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 27, 1998 - February 25, 1999
FLEET ENTERPRISES, INC.
May 21, 1997 - May 22, 1997
JOSEPHTHAL & CO., INC.
April 10, 1997 - May 16, 1997
IDS LIFE INSURANCE COMPANY
April 10, 1997 - May 16, 1997
AMERIPRISE FINANCIAL SERVICES, LLC
June 7, 1996 - August 20, 1997
GLOBAL CAPITAL MARKETS, LLC
March 22, 1995 - June 3, 1996
RENAISSANCE FINANCIAL SECURITIES CORP.
January 10, 1995 - April 7, 1995
DICKINSON & CO.
June 1, 1992 - April 25, 1995
ROBERT TODD FINANCIAL CORP.
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
Current Firm
FLEET ENTERPRISES, INC.
CRD#: 17434 / SEC#: , 8-35188
Contact information
Documents
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 | 11 |
| Arbitration | 1 |
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.
