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Aaron M. Glasser

Some features on this profile are disabled
CRD#: 4475120
AG

Professional summary

Aaron Michael Glasser was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Aaron is a previously registered financial professional and started their career in finance in 2002. Prior to being barred, Aaron had worked at 1 firm, which includes ROCKBRIDGE SECURITIES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

May 31, 2002 - August 26, 2002

ROCKBRIDGE SECURITIES, INC.

BD
CRD#: 47072
LAGUNA BEACH, CA

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: 10/31/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 22
Date: 10/20/2005
Direct Participation Programs Representative Examination

Current Firm

RS
ROCKBRIDGE SECURITIES, INC.
ROCKBRIDGE SECURITIES, INC.

CRD#: 47072 / SEC#: , 8-51651

BD
Terminated by SEC on 01/05/2004
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 09/14/1998
Firm type
Corporation
Fiscal year end
August
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
HIGGINS, WILLIAM CLIFFORD IIIPRESIDENT; DIRECT PARTICIPATION PROGRAMS PRINCIPAL2764408
DIMEGLIO, JOHN JOSEPHFINANCIAL AND OPERATIONS PRINCIPAL2908029
PEACE, DANIEL VINCENTDIRECT PARTICIPATION PROGRAMS PRINCIPAL2127554

Disclosures

Regulatory Event1

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.

Company Information

ROCKBRIDGE SECURITIES, INC.

CRD#: 47072

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