Larry Topper
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.
Larry Topper was a registered financial professional .
Larry is a previously registered financial professional and started their career in finance in 1996. Larry had worked at 8 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 19, 2000 - October 21, 2002
GLENN MICHAEL FINANCIAL, INC.
June 9, 2000 - December 12, 2000
MAGNUM SECURITIES OF NEW YORK INC.
December 9, 1999 - January 5, 2000
S.G. MARTIN SECURITIES LLC
November 5, 1999 - June 28, 2000
ROYAL HUTTON SECURITIES CORP.
November 10, 1998 - October 20, 1999
FIN-ATLANTIC SECURITIES, INC.
August 7, 1998 - December 16, 1998
THE THERMOPYLAE GROUP, INC.
July 10, 1996 - July 2, 1998
WALSH MANNING SECURITIES, LLC
January 2, 1996 - July 8, 1996
ANDREW GARRETT, 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
Current Firm
GLENN MICHAEL FINANCIAL, INC.
CRD#: 37912 / SEC#: , 8-47988
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GMF HOLDING CORP. | SHAREHOLDER | |
| AULLETTA, GARY GLENN | GENERAL PRINCIPAL | 8790 |
| BENOWITZ, ROBERT LAWRENCE | HEAD TRADER | 2181059 |
| KAVANAGH, JOSEPH ROBERT | GENERAL PRINCIPAL | 1348454 |
| LANAIA, FRANCINE ANN | VICE PRESIDENT, COMPLIANCE DIRECTOR | 1415689 |
| LANAIA, GLENN MICHAEL | PRESIDENT, FINOP | 1122707 |
| MERKENT, JOHN EDWARD | SROP | 1878878 |
Disclosures
| Regulatory Event | 6 |
| Civil Event | 1 |
| Arbitration | 7 |
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.
