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VG

Vince Glenn

Some features on this profile are disabled
CRD#: 2272521
VG

Professional summary

Vince Glenn was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Vince is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, Vince had worked at 8 firms, which includes GLENN CAPITAL LLC, WELLS FARGO CLEARING SERVICES LLC, MORGAN STANLEY, MORGAN STANLEY & CO. LLC, MORGAN STANLEY DW INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, UBS FINANCIAL SERVICES INC., KIDDER PEABODY & CO. INCORPORATED.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jonathan Vincent Glenn | Vince Vincent Glenn

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 14, 2020 - February 6, 2024

GLENN CAPITAL LLC

RIA
CRD#: 290351
GREENWICH, CT
Past

January 3, 2018 - December 31, 2019

GLENN CAPITAL LLC

RIA
CRD#: 290351
GREENWICH, CT
Past

September 13, 2013 - January 18, 2018

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
GREENWICH, CT
Past

September 13, 2013 - January 18, 2018

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
GREENWICH, CT
Past

June 1, 2009 - September 17, 2013

MORGAN STANLEY

RIA
CRD#: 149777
STAMFORD, CT
Past

June 1, 2009 - September 17, 2013

MORGAN STANLEY

BD
CRD#: 149777
STAMFORD, CT
Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
STAMFORD, CT
Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
STAMFORD, CT
Past

August 25, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
GREENWICH, CT
Past

August 25, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

BD
CRD#: 7556
GREENWICH, CT
Past

January 2, 2002 - August 30, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
STAMFORD, CT
Past

December 14, 2001 - August 30, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
STAMFORD, CT
Past

January 28, 1995 - December 20, 2001

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

April 19, 1993 - January 28, 1995

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 3/12/1994
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/10/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/18/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/16/1993
General Securities Representative Examination

Current Firm

GC
GLENN CAPITAL LLC
GLENN CAPITAL LLC | GLENNCAP LLC

CRD#: 290351 / SEC#:

PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Greenwich, CT
Mailing Address
Phone number
(203) 939-3330
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts75
AUM (Assets Under Management)$ 14,000,000

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.

Company Information

GLENN CAPITAL LLC

CRD#: 290351

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