Glen H. Brosier
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.
Glen Howard Brosier was a registered financial professional .
Glen is a previously registered financial professional and started their career in finance in 1968. Glen had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 1, Series 4 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2009 - June 5, 2017
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
February 4, 2002 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 4, 2002 - June 5, 2017
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 11, 1998 - February 20, 2002
WELLS FARGO CLEARING SERVICES, LLC
June 15, 1990 - May 11, 1998
PRINCIPAL FINANCIAL SECURITIES,INC.
September 15, 1989 - June 22, 1990
PRUDENTIAL EQUITY GROUP, LLC
February 12, 1985 - September 15, 1989
THOMSON MCKINNON SECURITIES INC.
August 13, 1968 - February 12, 1985
SCHNEIDER, BERNET & HICKMAN, INC.
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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 1
Date: 7/23/1962
Registered Representative ExaminationSeries 40
Date: 6/18/1968
Registered Principal ExaminationCurrent Firm
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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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