Donald L. Glover
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.
Donald Lee Glover, who also goes by Lee Glover, was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1994. Donald had worked at 6 firms and has passed the Series 63, Series 31, 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
May 18, 2012 - May 31, 2012
STERNE, AGEE & LEACH, INC.
June 2, 2011 - March 29, 2012
DEMOSS CAPITAL, INC.
November 10, 2004 - April 29, 2010
RAYMOND JAMES & ASSOCIATES, INC.
November 5, 2004 - April 29, 2010
RAYMOND JAMES & ASSOCIATES, INC.
November 14, 2002 - October 28, 2004
MORGAN STANLEY DW INC.
June 28, 2002 - October 28, 2004
MORGAN STANLEY DW INC.
August 24, 1999 - July 3, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 24, 1999 - July 3, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 25, 1994 - August 31, 1999
THE ROBINSON-HUMPHREY COMPANY, LLC
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
STERNE, AGEE & LEACH, INC.
CRD#: 791 / SEC#: , 8-11754
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INTL FCSTONE INC. | 100% OWNER | |
| TROUT, RONALD CAREY | CHIEF COMPLIANCE OFFICER | 2947546 |
Disclosures
| Regulatory Event | 48 |
| Arbitration | 6 |
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.
