Charles J. Glenn
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.
Charles Jeffrey Glenn was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1993. Charles had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 17, 2017 - September 27, 2024
CETERA INVESTMENT ADVISERS LLC
March 17, 2017 - September 27, 2024
CETERA INVESTMENT SERVICES LLC
March 27, 2013 - March 20, 2017
SECURITIES AMERICA ADVISORS, INC.
March 27, 2013 - March 20, 2017
SECURITIES AMERICA, INC.
August 16, 2010 - March 26, 2013
LPL FINANCIAL LLC
April 28, 2010 - March 26, 2013
LPL FINANCIAL LLC
December 21, 2005 - August 16, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
December 21, 2005 - July 5, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
October 3, 2005 - December 19, 2005
VOYA INVESTMENTS DISTRIBUTOR, LLC
December 10, 2002 - October 4, 2005
WELLS FARGO CLEARING SERVICES, LLC
October 1, 2000 - October 4, 2005
WELLS FARGO CLEARING SERVICES, LLC
November 24, 1993 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
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
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
