GD
Glenn A. Dial
AMERICAN CENTURY INVESTMENT SERVICES
Kansas City, MO 64111
Some features on this profile are disabled
CRD#: 2328673
GD
Professional summary
Glenn Alderman Dial is a registered financial professional currently at AMERICAN CENTURY INVESTMENT SERVICES INC. located in Kansas City, Missouri.
Glenn is registered as a RR (Registered Representative) and started their career in finance in 1993. Glenn has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 24 and Series 26 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Glenn Alderman Dial's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 6, 2019 - Present
AMERICAN CENTURY INVESTMENT SERVICES INC.
Office #1: 4500 Main Street, Kansas City, MO 64111BD
CRD#: 17437
Kansas City, MO
Past
March 17, 2011 - March 22, 2019
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
BD
CRD#: 25567
WINDERMERE, FL
Past
January 3, 2011 - February 18, 2011
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
BD
CRD#: 102920
NEW YORK, NY
Past
March 19, 2007 - January 3, 2011
JPMORGAN DISTRIBUTION SERVICES, INC.
BD
CRD#: 104234
NEW YORK, NY
Past
March 27, 2006 - December 19, 2006
GPC SECURITIES, INC.
BD
CRD#: 14007
ATLANTA, GA
Past
March 9, 2000 - February 24, 2006
LASALLE ST SECURITIES, L.L.C.
BD
CRD#: 7191
ST. PETERSBURG, FL
Past
October 2, 1995 - October 21, 1999
ADP BROKER-DEALER, INC.
BD
CRD#: 37693
ROSELAND, NJ
Past
April 19, 1995 - May 17, 1995
SECURITIES AMERICA, INC.
BD
CRD#: 10205
LAVISTA, NE
Past
July 31, 1993 - April 25, 1995
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
April 7, 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.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(5/6/2019)
RR
Alaska(5/6/2019)
RR
Arizona(5/6/2019)
RR
Arkansas(5/6/2019)
RR
California(5/6/2019)
RR
Colorado(5/6/2019)
RR
Connecticut(5/6/2019)
RR
Delaware(5/6/2019)
RR
District of Columbia(5/6/2019)
RR
Florida(5/6/2019)
RR
Georgia(5/6/2019)
RR
Hawaii(5/6/2019)
RR
Idaho(5/6/2019)
RR
Illinois(5/6/2019)
RR
Indiana(5/6/2019)
RR
Iowa(5/6/2019)
RR
Kansas(5/6/2019)
RR
Kentucky(5/6/2019)
RR
Louisiana(5/6/2019)
RR
Maine(5/6/2019)
RR
Maryland(5/6/2019)
RR
Massachusetts(5/6/2019)
RR
Michigan(5/6/2019)
RR
Minnesota(5/6/2019)
RR
Mississippi(5/6/2019)
RR
Missouri(5/6/2019)
RR
Montana(5/6/2019)
RR
Nebraska(5/6/2019)
RR
Nevada(5/6/2019)
RR
New Hampshire(5/6/2019)
RR
New Jersey(5/6/2019)
RR
New Mexico(5/6/2019)
RR
New York(5/6/2019)
RR
North Carolina(5/6/2019)
RR
North Dakota(5/6/2019)
RR
Ohio(5/6/2019)
RR
Oklahoma(5/6/2019)
RR
Oregon(5/6/2019)
RR
Pennsylvania(5/6/2019)
RR
Rhode Island(5/6/2019)
RR
South Carolina(5/6/2019)
RR
South Dakota(5/6/2019)
RR
Tennessee(5/6/2019)
RR
Texas(5/6/2019)
RR
Utah(5/6/2019)
RR
Vermont(5/6/2019)
RR
Virginia(5/6/2019)
RR
Washington(5/6/2019)
RR
West Virginia(5/6/2019)
RR
Wisconsin(5/6/2019)
RR
Wyoming(5/6/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
AC
AMERICAN CENTURY INVESTMENT SERVICES INC.
AMERICAN CENTURY BROKERAGE | TWENTIETH CENTURY SECURITIES, INC. | PLAZA SECURITIES CORPORATION | AMERICAN CENTURY INVESTMENT SERVICES, INC. | AMERICAN CENTURY INVESTMENT SERVICES INC.
CRD#: 17437 / SEC#: , 8-35220
BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
4500 Main Street, Kansas City, MO 64111
Mailing Address
P.o. Box 410141, Kansas City, MO 64141-0141
Phone number
(800) 345-2021
Established
Missouri since 04/18/1962
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERICAN CENTURY COMPANIES, INC. | PARENT COMPANY | |
| LUCHINSKY, RICHARD TODD | SVP, PRESIDENT | 2065489 |
| PAK, JOHN DONGJIN | CLO | 3226458 |
| REDLINE, CHERYL LOUISE | TREASURER, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 5371811 |
| SCHAPPERT, BRIAN JOSEPH | SVP, DIRECTOR | 5362490 |
| SHELTON, AMY DIANE | CCO | 2556023 |
| SMITH, RICHARD ANDREW | SVP, DIRECTOR | 6109979 |
| TURNER, MICHAEL RYAN | DIRECTOR | 5469914 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
