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Glenn A. Bierman

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CRD#: 4591774
GB

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 Alan Bierman was a registered financial professional .

Glenn is a previously registered financial professional and started their career in finance in 2003. Glenn had worked at 7 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.

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

October 10, 2012 - December 13, 2013

MID-MARKET SECURITIES, LLC

BD
CRD#: 126750
MOUNT KISCO, NY
Past

February 26, 2010 - December 31, 2010

INVESTORS CAPITAL CORP.

RIA
CRD#: 30613
NORWALK, CT
Past

February 26, 2010 - December 31, 2010

INVESTORS CAPITAL CORP.

BD
CRD#: 30613
NORWALK, CT
Past

February 25, 2009 - March 2, 2010

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
NORWALK, CT
Past

February 25, 2009 - March 2, 2010

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
NORWALK, CT
Past

March 17, 2008 - March 17, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
WESTPORT, CT
Past

March 20, 2007 - March 17, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
WESTPORT, CT
Past

April 20, 2005 - March 22, 2007

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
FAIRFIELD, CT
Past

June 9, 2004 - December 17, 2004

GREENWICH GLOBAL, LLC

BD
CRD#: 37304
WILTON, CT
Past

March 28, 2003 - April 28, 2004

ACHELOUS PARTNERS, LLC

BD
CRD#: 123380
NEW YORK CITY, NY

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
IAR
Series 65
Date: 3/13/2008
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/20/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 1/24/2003
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/6/2003
General Securities Principal Examination

Current Firm

MS
MID-MARKET SECURITIES, LLC
MID-MARKET SECURITIES, LLC

CRD#: 126750 / SEC#: , 8-65905

BD
Terminated by SEC on 01/20/2025
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 02/12/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
WIEN, ROBERT WILLIAMPRESIDENT & CEO/GSP/CCO/FINOP2289694

Disclosures

Regulatory Event2

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

MID-MARKET SECURITIES, LLC

CRD#: 126750

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