James E. Glasgow
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.
James Earl Glasgow, who also goes by Earl Glasgow, Jim Glasgow, Jimmy Glasgow, Jimo Glasgow, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1970. James had worked at 9 firms and has passed the Series 63, Series 6, PC, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 22, 1995 - December 11, 1996
MAY FINANCIAL CORPORATION
January 3, 1995 - May 31, 1995
PFS INVESTMENTS INC.
July 5, 1990 - October 17, 1990
MOMENTUM INDEPENDENT NETWORK INC.
October 3, 1988 - October 11, 1989
DOMINICK & DICKERMAN LLC
January 11, 1988 - October 3, 1988
DOMIK CORP.
January 31, 1980 - January 12, 1988
UBS FINANCIAL SERVICES INC.
January 27, 1976 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
May 29, 1974 - March 13, 1976
LENTZ, NEWTON & CO.
June 4, 1970 - September 20, 1974
COOPER & CO INC
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
PC
Date: 9/2/1977
AMEX Put and Call ExamSeries 1
Date: 7/11/1956
Registered Representative ExaminationSeries 00
Date: 7/30/1970
General Securities Principal ExaminationCurrent Firm
MAY FINANCIAL CORPORATION
CRD#: 3927 / SEC#: , 8-14093
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SWS GROUP, INC. | PARENT | |
| BENNERS, FREDERICK HAGAMAN JR | CEO & PRESIDENT | 2213846 |
| HODGES, STACY MALINDA | VICE PRESIDENT/TREASURER/ CFO | 2544755 |
| KNOWLES, PHYLLIS JEAN | DIRECTOR OF COMPLIANCE | 1275616 |
| SYLVESTER, GORDON ANTHONY | SROP/CROP | 2638444 |
| TUBB, ALLEN R | SECRETARY | |
| WADE, JEROME STEPHEN | VICE PRESIDENT/ GENERAL COUNSEL | 809998 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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