Glenn V. Wicka
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.
Glenn Vincent Wicka was a registered financial professional .
Glenn is a previously registered financial professional and started their career in finance in 1996. Glenn had worked at 9 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 52, Series 24 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 12, 2017 - August 20, 2019
HARRISDIRECT LLC
November 7, 2017 - August 20, 2019
E*TRADE SECURITIES LLC
October 9, 2012 - October 22, 2014
MULTI-BANK SECURITIES, INC.
May 2, 2012 - October 19, 2012
MML INVESTORS SERVICES, LLC
April 11, 2012 - October 19, 2012
MML INVESTORS SERVICES, LLC
August 18, 2011 - January 30, 2012
PNC WEALTH MANAGEMENT LLC
May 17, 2011 - January 30, 2012
PNC WEALTH MANAGEMENT LLC
January 25, 2010 - June 16, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
April 7, 2006 - May 1, 2009
E*TRADE SECURITIES LLC
July 6, 2005 - March 3, 2006
CHASE INVESTMENT SERVICES CORP.
July 6, 2005 - March 3, 2006
CHASE INVESTMENT SERVICES CORP.
October 18, 2004 - July 6, 2005
BANC ONE SECURITIES CORPORATION
June 21, 2004 - July 6, 2005
BANC ONE SECURITIES CORPORATION
July 10, 1996 - June 15, 2004
AMERIPRISE ADVISOR SERVICES, 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
HARRISDIRECT LLC
CRD#: 42159 / SEC#: 801-58085, 8-49730
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| E*TRADE BROKERAGE HOLDINGS, INC. | SHAREHOLDER | |
| ALBINO, MICHAEL JOSEPH | CHIEF COMPLIANCE OFFICER/CROP/SROP - BD | 864412 |
| BOCK, CYNTHIA CRAMER | CORPORATE SECRETARY | |
| CURCIO, MICHAEL JOHN | MANAGER | 1620743 |
| FOSTER, JONATHAN RICE | PRESIDENT | 1037245 |
| HAVENS, GILBERT SCHUYLER | VICE PRESIDENT - IA | 2508109 |
| KAMEDA, ROBIN GEN WAI KIRN | CHIEF COMPLIANCE OFFICER - IA | 1821479 |
| LILIEN, ROBERT JARRETT | CEO, MANAGER | 1337819 |
| REYES, CHRISTOPHER VALENTIN | CHIEF FINANCIAL OFFICER | 2105804 |
| ROBERTS, THOMAS HENRY III | VICE PRESIDENT - BD | 2104665 |
| WILSON, MICHAEL JAMES | CHIEF COMPLIANCE OFFICER - INTERNATIONAL | 2446305 |
Regulatory assets under management
| Total Number of Accounts | 90,806 |
| AUM (Assets Under Management) | $ 7,406,529,807 |
Disclosures
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/23/2023 | ||
| 09/27/2022 | ||
| 12/21/2021 |
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.
