Glenn F. Stockham
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.
Glenn Franklin Stockham JR was a registered financial professional .
Glenn is a previously registered financial professional and started their career in finance in 1982. Glenn had worked at 14 firms and has passed the SIE, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 18, 2010 - June 1, 2015
CFD INVESTMENTS, INC.
January 12, 2006 - October 19, 2010
WORKMAN SECURITIES CORPORATION
June 10, 2005 - November 22, 2005
USALLIANZ SECURITIES, INC.
January 3, 2000 - May 18, 2005
IRON STREET SECURITIES INC.
November 16, 1995 - January 3, 2000
AMERICAN HEARTLAND INVESTMENTS INC.
January 18, 1994 - November 10, 1995
FFP SECURITIES, INC.
July 12, 1991 - January 10, 1994
SECURITIES AMERICA, INC.
October 5, 1990 - March 8, 1991
BROOKLIGHT PLACE SECURITIES, INC.
February 3, 1989 - October 8, 1990
SECURITIES AMERICA, INC.
September 11, 1987 - February 7, 1989
OSAIC FS, INC.
January 2, 1987 - September 17, 1987
WOODBURY FINANCIAL SERVICES, INC.
June 18, 1986 - December 15, 1986
CONSECO FINANCIAL SERVICES, INC.
August 30, 1985 - January 21, 1987
INTEGRATED RESOURCES EQUITY CORPORATION
May 5, 1982 - September 3, 1985
LOWRY FINANCIAL SERVICES CORPORATION
April 6, 1982 - May 26, 1982
SIGNATOR INVESTORS, 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 1
Date: 4/9/1968
Registered Representative ExaminationSeries 00
Date: 10/24/1968
General Securities Principal ExaminationCurrent Firm
CFD INVESTMENTS, INC.
CRD#: 25427 / SEC#: , 8-41727
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BRAUN, BRIGIT R | OWNER | 6585909 |
| OWENS, BRENT ANTHONY | PRESIDENT/DIRECTOR | 2261719 |
| ROCKEY, BROOKE LEIGH | OWNER | 4817176 |
| THE OWENS FAMILY TRUST DATED 8/1/2017 | OWNER | |
| BAHRENBURG, MATTHEW O | CHIEF COMPLIANCE OFFICER | 5295661 |
| HALE, DANIEL KRIS | OWNER, VICE PRESIDENT, DIRECTOR | 2649813 |
| OWENS, MICKEY LEE | DIRECTOR, TRUSTEE OF THE OWENS FAMILY TRUST DATED 8/1/2017 | 1437001 |
| ROCKEY, CHRISTOPHER M | OWNER | 5504531 |
| ROOZE, KREGG JERROD | DIRECTOR, SECRETARY, TREASURER | 3174063 |
Disclosures
| Regulatory Event | 8 |
| Bond | 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.
