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Glen W. Albanese

Some features on this profile are disabled
CRD#: 2662411
GA

Professional summary

Glen William Albanese was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Glen is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Glen had worked at 2 firms, which includes GRIDLEY & COMPANY LLC, NEEDHAM & COMPANY LLC.

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 11, 2002 - May 18, 2006

GRIDLEY & COMPANY LLC

BD
CRD#: 115706
NEW YORK, NY
Past

April 24, 1997 - March 24, 2011

NEEDHAM & COMPANY, LLC

BD
CRD#: 16360
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 10/20/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 4/23/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 12/3/1998
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/27/1998
General Securities Principal Examination

Current Firm

G&
GRIDLEY & COMPANY LLC
GRIDLEY & COMPANY LLC

CRD#: 115706 / SEC#: , 8-53497

BD
Terminated by SEC on 11/30/2014
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 06/18/2001
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
GRIDLEY HOLDINGS LLCMEMBER
CALIMANO, FRANK VINCENTFIN OP840807
GRIDLEY, LINDA BORNHUETTERPRESIDENT/CEO1583887
GRIDLEY, LINDA BORNHUETTERCCO1583887

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.

Company Information

GRIDLEY & COMPANY LLC

CRD#: 115706

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