Genay M. Glasgo
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.
Genay Marie Glasgo, who also goes by Genay Marie Jung, was a registered financial professional .
Genay is a previously registered financial professional and started their career in finance in 1998. Genay had worked at 6 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 3, Series 7, Series 6, Series 24, Series 27, Series 23, Series 4, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 11, 2022 - June 9, 2023
ALPACA SECURITIES LLC
July 6, 2010 - May 9, 2022
RAYMOND JAMES & ASSOCIATES, INC.
July 2, 2010 - May 9, 2022
RAYMOND JAMES & ASSOCIATES, INC.
September 9, 2009 - June 16, 2010
MORGAN STANLEY
September 9, 2009 - June 16, 2010
MORGAN STANLEY
July 13, 2009 - September 9, 2009
CITIGROUP GLOBAL MARKETS INC.
July 13, 2009 - September 9, 2009
CITIGROUP GLOBAL MARKETS INC.
June 1, 2009 - July 28, 2009
MORGAN STANLEY
June 1, 2009 - July 28, 2009
MORGAN STANLEY
January 23, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
February 8, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
June 1, 2001 - January 26, 2006
BROWNCO, LLC
October 29, 1998 - October 24, 2000
T. ROWE PRICE INVESTMENT 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
ALPACA SECURITIES LLC
CRD#: 288202 / SEC#: , 8-69928
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALPACADB, INC. | SOLE MEMBER | |
| DIAZ, ZACHARY LUCIANO | SR. DIRECTOR CUSTODY & SETTLEMENT, PRINCIPAL OPERATIONS OFFICER | 6027965 |
| DUSSEAULT, DAVID STANLEY | PRESIDENT AND COO | 2819891 |
| GARZA, FELIPE | AML COMPLIANCE OFFICER | 4613815 |
| LEE, TONY | GLOBAL HEAD OF BROKERAGE | 5618563 |
| SAUGSTAD, MONIQUE D | CHIEF COMPLIANCE OFFICER | 4127241 |
| TAIFI, MEHDI | CHIEF RISK OFFICER | 5977322 |
| WETTERWALD, TAMMY CAO | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, FINOP | 6113272 |
Disclosures
| Regulatory Event | 1 |
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.
