Glen Gregorio

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CRD#: 4740873

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 Gregorio was a registered financial professional .

Glen is a previously registered financial professional and started their career in finance in 2004. Glen had worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

1) PASTA PEOPLE LLC; NOT INVESTMENT RELATED; 348 FLATBUSH AVE. BROOKLYN, NY 11238; DINING ESTABLISHMENT LOCATED IN PROSPECT HEIGHTS, BROOKLYN; CLASS B LIMITED LIABILITY MEMBER; 06/13/2017; 0 HOURS DEVOTED PER MONTH; 0 HOURS DEVOTED DURING TRADING HOURS; DUTIES INCLUDE LIMITED LIABILITY INVESTMENT ONLY. 2) DOMINICAN ACADEMY; NOT INVESTMENT RELATED; 44 EAST 68TH STREET NEW YORK, NY 10065; CATHOLIC COLLEGE PREPARATORY HIGH SCHOOL; BOARD TRUSTEE; START DATE 07/01/2017; 2 HOURS DEVOTED PER MONTH; 2 HOURS DEVOTED OUTSIDE TRADING HOURS; DUTIES INCLUDE 3 YEAR TERM.

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

November 22, 2021 - September 26, 2023

WEALTHSPRING CAPITAL LLC

RIA

CRD#: 301040

WEST HARRISON, NY

Past

July 20, 2018 - December 10, 2019

GFI SECURITIES LLC

CRD#: 19982

NEW YORK, NY

Past

December 2, 2015 - February 19, 2018

ICE BONDS SECURITIES CORPORATION

CRD#: 123635

NEW YORK, NY

Past

October 3, 2013 - November 19, 2015

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

August 24, 2010 - August 28, 2013

BNP PARIBAS SECURITIES CORP.

CRD#: 15794

NEW YORK, NY

Past

March 2, 2004 - August 27, 2010

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WEALTHSPRING CAPITAL LLC

CRD#: 301040 / SEC#: 801-117460

RIA

Registered Investment Advisory firm - (10/9/2019 Approved)

New York

Registered Investment Advisory firm - (10/22/2019 Terminated)

Texas

Registered Investment Advisory firm - (10/22/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/22/2021

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/24/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/1/2004

General Securities Representative Examination

Current Firm

WEALTHSPRING CAPITAL LLC

CRD#: 301040 / SEC#: 801-117460

RIA

Registered Investment Advisory firm - (10/9/2019 Approved)

New York

Registered Investment Advisory firm - (10/22/2019 Terminated)

Texas

Registered Investment Advisory firm - (10/22/2019 Terminated)

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Contact information

Main Address

2 Westchester Park Drive Suite 108, West Harrison, NY 10604

Mailing Address

Phone number

(914) 419-2207

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A- WEALTHSPRING CAPITAL LLC (3/24/2025)

Regulatory assets under management

Total Number of Accounts	324
AUM (Assets Under Management)	$ 454,865,950

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.

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Advisor Monitoring

Firm Stability Insights

Glen Gregorio

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

GFI SECURITIES LLC

ICE BONDS SECURITIES CORPORATION

CITIGROUP GLOBAL MARKETS INC.

BNP PARIBAS SECURITIES CORP.

DEUTSCHE BANK SECURITIES INC.

Primary Firm SEC Registration

WEALTHSPRING CAPITAL LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/22/2021

Series 63

Date: 3/24/2004

SIE

Date: 10/1/2018

Series 7

Date: 3/1/2004

Current Firm

WEALTHSPRING CAPITAL LLC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WEALTHSPRING CAPITAL LLC

TRUST BUT VERIFY

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