Peter J. Glaab
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.
Peter Joseph Glaab JR, who also goes by Peter Glaab Jr, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1970. Peter had worked at 7 firms and has passed the Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 12, 2006 - December 31, 2013
SPC
February 4, 1988 - December 31, 2018
SIGMA FINANCIAL CORPORATION
December 10, 1986 - December 31, 1987
THE SAXON GROUP, INC.
April 9, 1986 - January 2, 1987
MARINER FINANCIAL SERVICES, INC.
July 31, 1978 - April 2, 1985
U.S. MUTUAL SECURITIES CORP.
December 4, 1974 - August 3, 1978
WORLD CAPITAL BROKERAGE, INC.
August 26, 1970 - November 11, 1974
ALEXANDER HAMILTON FINANCIAL INC.
Primary Firm SEC Registration
SPC
CRD#: 110692 / SEC#: 801-20404
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 1
Date: 8/20/1970
Registered Representative ExaminationCurrent Firm
SPC
CRD#: 110692 / SEC#: 801-20404
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,544 |
| AUM (Assets Under Management) | $ 5,655,661,675 |
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.
