David A. Glass
Professional summary
David Alexander Glass was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
David is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, David had worked at 6 firms, which includes FIS BROKERAGE & SECURITIES SERVICES LLC, RUMSON CAPITAL LLC, WALL STREET FINANCIAL GROUP INC., SUNPOINT SECURITIES INC., W.J. NOLAN & COMPANY INC., STERLING FOSTER & COMPANY INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 12, 2003 - February 27, 2004
FIS BROKERAGE & SECURITIES SERVICES LLC
May 25, 2000 - June 5, 2002
RUMSON CAPITAL, LLC
May 27, 1998 - October 1, 1999
WALL STREET FINANCIAL GROUP, INC.
January 8, 1998 - May 27, 1998
SUNPOINT SECURITIES, INC.
March 28, 1997 - October 31, 1997
W.J. NOLAN & COMPANY, INC.
May 17, 1995 - November 25, 1996
STERLING FOSTER & COMPANY, 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
Series 55
Date: 12/13/2000
Limited Representative-Equity Trader ExamCurrent Firm
FIS BROKERAGE & SECURITIES SERVICES LLC
CRD#: 104162 / SEC#: , 8-52614
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIS CAPITAL MARKETS US LLC | SOLE MEMBER | |
| DAMIS, JENEL CARIMA | CHIEF COMPLIANCE OFFICER | 3261583 |
| HECKER, STEVEN MICHAEL | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 3088510 |
| PETERS, DAVID TODD | BOARD MEMBER, ASSISTANT SECRETARY | 7798286 |
| VOGEL, MICHAEL FRANCIS | CHIEF EXECUTIVE OFFICER AND PRESIDENT, BOARD MEMBER, SECRETARY | 2814935 |
Disclosures
| Regulatory Event | 23 |
Red Flags
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