Guido E. Glowania
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.
Guido Eugen Glowania was a registered financial professional .
Guido is a previously registered financial professional and started their career in finance in 1999. Guido had worked at 7 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 3, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 23, 2014 - August 20, 2021
ROSENBLATT SECURITIES INC.
April 7, 2009 - June 28, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 26, 2005 - May 28, 2008
AKJ
August 7, 2002 - June 2, 2003
LEXIT CAPITAL, LLC
August 1, 2000 - July 18, 2002
INSTINET, LLC
April 3, 2000 - August 1, 2000
REUTERS C CORPORATION
May 21, 1999 - November 1, 1999
PRUDENTIAL EQUITY GROUP, LLC
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 4/19/2000
Limited Representative-Equity Trader ExamCurrent Firm
ROSENBLATT SECURITIES INC.
CRD#: 18377 / SEC#: , 8-24255
Contact information
FINRA licenses (15 States and Territories)
Disclosures
| Regulatory Event | 6 |
Red Flags
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