Douglas M. Glaza
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.
Douglas Michael Glaza MR, who also goes by Douglas Michael Glaza, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1992. Douglas had worked at 7 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 13, 2013 - January 16, 2015
TELEMUS CAPITAL, LLC
September 20, 2010 - September 12, 2013
TELEMUS INVESTMENT MANAGEMENT, LLC
July 19, 2005 - December 7, 2012
TELEMUS INVESTMENT BROKERS, LLC
July 8, 2005 - July 27, 2005
LASALLE ST SECURITIES, L.L.C.
February 4, 2005 - July 21, 2005
RAYMOND JAMES & ASSOCIATES, INC.
June 1, 1993 - February 9, 2005
MORGAN STANLEY DW INC.
December 18, 1992 - June 14, 1993
KEYBANC CAPITAL MARKETS 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
Current Firm
TELEMUS CAPITAL, LLC
CRD#: 168794 / SEC#: 801-78535
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 4,367 |
| AUM (Assets Under Management) | $ 2,972,199,618 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/11/2024 | ||
| 11/22/2022 | ||
| 02/28/2022 |
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.
