David H. Glotzer
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.
David Howard Glotzer was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2002. David had worked at 6 firms and has passed the Series 66, Series 65, SIE 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
January 14, 2022 - April 18, 2023
EP WEALTH ADVISORS
November 3, 2014 - December 22, 2021
MINDFUL MONEY
October 31, 2014 - April 12, 2018
LPL FINANCIAL LLC
June 18, 2014 - November 3, 2014
CITY NATIONAL SECURITIES, INC.
July 25, 2013 - November 3, 2014
CITY NATIONAL SECURITIES, INC.
February 16, 2006 - August 24, 2006
MBSC, LLC
June 6, 2003 - August 24, 2006
MBSC, LLC
August 21, 2002 - June 6, 2003
BNY MELLON CAPITAL MARKETS, LLC
Primary Firm SEC Registration
EP WEALTH ADVISORS
CRD#: 111147 / SEC#: 801-29358
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
EP WEALTH ADVISORS
CRD#: 111147 / SEC#: 801-29358
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 49,167 |
| AUM (Assets Under Management) | $ 35,570,000,000 |
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.
