James B. Glennon
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 Blair Glennon JR, who also goes by Jim Glennon, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1971. James had worked at 7 firms and has passed the Series 63, 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
January 26, 1996 - December 31, 2005
CANTELLA & CO., INC.
July 19, 1984 - January 31, 1996
SMITH & LAWRENCE COMPANY
January 27, 1984 - June 26, 1984
TZ CLEAR LLC
November 18, 1980 - January 13, 1984
JOHNSTON, LEMON & CO. INCORPORATED
October 18, 1978 - December 13, 1980
WOODBURY FINANCIAL SERVICES, INC.
March 2, 1973 - December 18, 1984
TRANSAMERICA FINANCIAL ADVISORS, INC.
December 1, 1971 - November 10, 1978
ACACIA EQUITY SALES CORPORATION
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: 11/23/1971
Registered Representative ExaminationCurrent Firm
CANTELLA & CO., INC.
CRD#: 13905 / SEC#: 801-60841, 8-23904
Contact information
FINRA licenses (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,665 |
| AUM (Assets Under Management) | $ 1,929,399,963 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 1 |
| Arbitration | 6 |
| Bond | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2023 | ||
| 11/27/2023 |
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.
