Mitchell P. Glassman
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.
Mitchell Perry Glassman, who also goes by Mitchell Perry Glassman, was a registered financial professional .
Mitchell is a previously registered financial professional and started their career in finance in 1996. Mitchell had worked at 9 firms and has passed the Series 66, Series 63, 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
September 5, 2012 - September 14, 2016
WELLS FARGO CLEARING SERVICES, LLC
September 5, 2012 - September 14, 2016
WELLS FARGO CLEARING SERVICES, LLC
March 23, 2012 - September 16, 2014
FIRST CLEARING, LLC
January 4, 2010 - March 26, 2012
WELLS FARGO CLEARING SERVICES, LLC
January 4, 2010 - March 26, 2012
WELLS FARGO CLEARING SERVICES, LLC
February 11, 2009 - January 5, 2010
FIRST CLEARING, LLC
January 4, 2007 - November 18, 2009
WELLS FARGO CLEARING SERVICES, LLC
December 18, 2006 - November 18, 2009
WELLS FARGO CLEARING SERVICES, LLC
December 4, 2006 - December 15, 2006
TD AMERITRADE, INC.
December 4, 2006 - December 15, 2006
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
August 15, 2006 - December 15, 2006
TD AMERITRADE, INC.
December 13, 2005 - June 20, 2006
CITIGROUP GLOBAL MARKETS INC.
January 12, 2005 - March 4, 2005
BNY MELLON SECURITIES CORPORATION
February 19, 2003 - January 19, 2005
J.P. MORGAN SECURITIES INC.
January 19, 2000 - January 15, 2003
CHASE INVESTMENT SERVICES CORP.
January 4, 1999 - January 15, 2003
CHASE INVESTMENT SERVICES CORP.
March 23, 1998 - September 8, 1998
TD AMERITRADE, INC.
September 20, 1996 - December 19, 1997
CONTINENTAL BROKER-DEALER CORP.
Primary Firm SEC Registration
WELLS FARGO CLEARING SERVICES, LLC
CRD#: 19616 / SEC#: 801-37967, 8-37180
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
WELLS FARGO CLEARING SERVICES, LLC
CRD#: 19616 / SEC#: 801-37967, 8-37180
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WACHOVIA SECURITIES FINANCIAL HOLDINGS, LLC | SOLE MEMBER | |
| CRONK, DARRELL | HEAD OF INVESTMENT SOLUTIONS / WIM CHIEF INVESTMENT OFFICER / BOARD OF MANAGERS / CONTROL PRINCIPAL | 2498892 |
| GINDI, SOL | PRESIDENT / HEAD OF WIM DISTRIBUTION / BOARD OF MANAGERS / CONTROL PRINCIPAL | 4903526 |
| KARANIK, ERIK ANTHONY | BOARD OF MANAGERS | 2260890 |
| LACEY, PAUL | PRINCIPAL OPERATIONS OFFICER / CONTROL PRINCIPAL | 5616656 |
| PATEL, RAKESH | CHIEF FINANCIAL OFFICER / BOARD OF MANAGERS | 5385585 |
| SAUNDERS, DAVID WARD | DESIGNATED STATE PRINCIPAL | 2448617 |
| SOMESHWAR, PRASANNA | HEAD OF BANKING, LENDING & TRUST / CONTROL PRINCIPAL | 7491790 |
| SOMMERS, BARRY | CHIEF EXECUTIVE OFFICER / BOARD OF MANAGERS | 2301454 |
| TSAMADIAS, CHRISTOS G | CHIEF COMPLIANCE OFFICER | 5433568 |
Regulatory assets under management
| Total Number of Accounts | 1,327,695 |
| AUM (Assets Under Management) | $ 606,037,831,365 |
Disclosures
| Regulatory Event | 182 |
| Civil Event | 2 |
| Arbitration | 303 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 12/11/2023 | ||
| 02/17/2023 |
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.
