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GL

Glenn A. Levit

Some features on this profile are disabled
CRD#: 2323235
GL

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.

Glenn Allen Levit was a registered financial professional .

Glenn is a previously registered financial professional and started their career in finance in 1993. Glenn had worked at 12 firms and has passed the Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 2, 2013 - May 1, 2014

EMPIRE ASSET MANAGEMENT COMPANY

BD
CRD#: 143007
NEW YORK, NY
Past

January 3, 2012 - January 23, 2013

CELADON FINANCIAL GROUP LLC

BD
CRD#: 36538
NEW YORK, NY
Past

January 3, 2007 - January 11, 2012

GILFORD SECURITIES INCORPORATED

BD
CRD#: 8076
NEW YORK, NY
Past

July 1, 2003 - December 31, 2006

CARLIN EQUITIES, LLC

BD
CRD#: 31295
NEW YORK, NY
Past

June 25, 2003 - September 22, 2003

US TRADING LLC

BD
CRD#: 37426
NEW YORK, NY
Past

March 19, 2001 - June 26, 2003

NBGI SECURITIES INC.

BD
CRD#: 104322
NEW YORK, NY
Past

March 11, 1999 - March 19, 2001

NEWBROOK SECURITIES, LLC

BD
CRD#: 45774
NEW YORK, NY
Past

September 29, 1997 - March 25, 1999

DJS SECURITIES LIMITED

BD
CRD#: 13353
NEW YORK, NY
Past

July 12, 1996 - June 6, 1997

MURPHEY, MARSEILLES, SMITH & NAMMACK, INC.

BD
CRD#: 18032
NEW YORK, NY
Past

March 11, 1994 - June 27, 1996

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

July 31, 1993 - March 18, 1994

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

June 15, 1993 - July 31, 1993

LEHMAN BROTHERS INC.

BD
CRD#: 7506
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
RR
Series 63
Date: 6/22/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 6/14/1993
General Securities Representative Examination

Current Firm

EA
EMPIRE ASSET MANAGEMENT COMPANY
EMPIRE ASSET MANAGEMENT COMPANY

CRD#: 143007 / SEC#: , 8-67520

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
29 Broadway 12th Floor, New York, NY 10006
Mailing Address
29 Broadway 12th Floor, New York, NY 10006
Phone number
(212) 417-8239
Established
New York since 11/02/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
EMPIRE INVESTMENT GROUP HOLDINGS, LLCMEMBER-MANAGER
BANJANY, LAUREN MARIECHIEF OPERATIONS OFFICER4899767
EMPIRE ASSET MANAGEMENT OF NY, LTD.MANAGER
ZEOLI, GREGG LANCECEO/CCO/PRESIDENT/SHAREHOLDER/CROP/SROP/FINOP2620340

Disclosures

Arbitration1

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

EMPIRE ASSET MANAGEMENT COMPANY

CRD#: 143007

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