Douglas R. 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.
Douglas Ray Glenn was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1995. Douglas had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 7, 2017 - April 4, 2018
KALOS MANAGEMENT
July 7, 2017 - April 4, 2018
KALOS CAPITAL, INC.
February 28, 2017 - July 10, 2017
NATIONAL PLANNING CORPORATION
February 28, 2017 - July 10, 2017
NATIONAL PLANNING CORPORATION
November 18, 2014 - January 18, 2017
OPPENHEIMER & CO. INC.
November 17, 2014 - January 18, 2017
OPPENHEIMER & CO. INC.
September 15, 2014 - November 18, 2014
SMITH, MOORE & CO.
September 15, 2014 - November 18, 2014
SMITH, MOORE & CO.
May 21, 2012 - September 11, 2014
VALIC FINANCIAL ADVISORS, INC.
May 21, 2012 - September 11, 2014
VALIC FINANCIAL ADVISORS, INC.
January 31, 2005 - January 13, 2012
LPL FINANCIAL LLC
April 2, 2004 - January 13, 2012
LPL FINANCIAL LLC
August 20, 2003 - April 2, 2004
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
April 18, 1996 - August 15, 2003
MM ASCEND LIFE INVESTOR SERVICES, LLC
November 16, 1995 - April 22, 1996
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
November 16, 1995 - April 22, 1996
OSAIC FA, 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
KALOS MANAGEMENT
CRD#: 133025 / SEC#: 801-65182
Contact information
Regulatory assets under management
| Total Number of Accounts | 1,174 |
| AUM (Assets Under Management) | $ 128,562,434 |
Red Flags
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