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Glen J. Rauch

Some features on this profile are disabled
CRD#: 3102961
GR

Professional summary

Glen Joseph Rauch 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 1999. Prior to being barred, Glen had worked at 11 firms, which includes AVENIR FINANCIAL GROUP, ROCKWELL GLOBAL CAPITAL LLC, CHARLES VISTA LLC, OBSIDIAN FINANCIAL GROUP LLC, NATIONAL SECURITIES CORPORATION, GUNNALLEN FINANCIAL INC, J.P. TURNER & COMPANY L.L.C., EKN FINANCIAL SERVICES INC., EHRENKRANTZ KING NUSSBAUM, TASIN & COMPANY INC., WEATHERLY SECURITIES CORPORATION.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Glen Joesph Rauch

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

August 27, 2013 - February 16, 2016

AVENIR FINANCIAL GROUP

BD
CRD#: 148490
Syosset, NY
Past

December 6, 2010 - September 10, 2013

ROCKWELL GLOBAL CAPITAL LLC

BD
CRD#: 142485
MELVILLE, NY
Past

June 24, 2010 - December 6, 2010

CHARLES VISTA LLC

BD
CRD#: 132650
MELVILLE, NY
Past

August 12, 2008 - July 20, 2010

OBSIDIAN FINANCIAL GROUP, LLC

BD
CRD#: 104255
WOODBURY, NY
Past

May 12, 2005 - July 11, 2008

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
HUNTINGTON, NY
Past

February 17, 2004 - June 2, 2005

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
TAMPA, FL
Past

October 21, 2002 - January 30, 2004

J.P. TURNER & COMPANY, L.L.C.

BD
CRD#: 43177
ATLANTA, GA
Past

December 21, 2001 - November 25, 2002

EKN FINANCIAL SERVICES INC.

BD
CRD#: 113525
MELVILLE, NY
Past

November 26, 2001 - December 21, 2001

EHRENKRANTZ KING NUSSBAUM

BD
CRD#: 31140
NEW YORK, NY
Past

September 24, 1999 - October 20, 1999

TASIN & COMPANY, INC.

BD
CRD#: 30709
HAUPPAUGE, NY
Past

September 24, 1999 - October 25, 2001

WEATHERLY SECURITIES CORPORATION

BD
CRD#: 11081
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: 8/19/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 2/16/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/29/1999
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/24/2000
General Securities Principal Examination

Current Firm

AF
AVENIR FINANCIAL GROUP
AVENIR FINANCIAL GROUP | AVENIR FINANCIAL GROUP, INC.

CRD#: 148490 / SEC#: , 8-68031

BD
Terminated by SEC on 05/11/2016
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Contact information

Main Address
Mailing Address
Phone number
Established
Wyoming since 07/26/2010
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
ALLEN, DAVID ARTHURPASSIVE INVESTOR2500427
CLEMENTS, MICHAEL TODDCEO,CCO1702071
PASQUESI, MAUROPASSIVE INVESTOR OWNER6148602
BABOULIS, LINDAPASSIVE INVESTOR6441448
CLEMENTS, JUDITHPASSIVE INVESTOR6432441

Disclosures

Regulatory Event4
Arbitration3

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

AVENIR FINANCIAL GROUP

CRD#: 148490

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