Glenn A. Moffitt
Professional summary
Glenn Allen Moffitt was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Glenn is a previously registered financial advisor and started their career in finance in 2004. Prior to being barred, Glenn had worked at 9 firms, which includes CAMBRIDGE INVESTMENT RESEARCH INC., CAMBRIDGE INVESTMENT RESEARCH ADVISORS INC., LPL FINANCIAL LLC, FIRST ALLIED ADVISORY SERVICES INC., FIRST ALLIED SECURITIES INC., REGAL ADVISORY SERVICES INC., REGAL SECURITIES INC., BANC OF AMERICA INVESTMENT SERVICES INC., WELLS FARGO INVESTMENTS LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 12, 2013 - September 10, 2014
CAMBRIDGE INVESTMENT RESEARCH, INC.
November 11, 2013 - September 11, 2014
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
December 14, 2012 - December 3, 2013
LPL FINANCIAL LLC
December 14, 2012 - December 3, 2013
LPL FINANCIAL LLC
July 2, 2012 - January 2, 2013
FIRST ALLIED ADVISORY SERVICES, INC.
May 2, 2011 - July 2, 2012
FIRST ALLIED SECURITIES, INC.
May 2, 2011 - December 17, 2012
FIRST ALLIED SECURITIES, INC.
April 20, 2011 - May 27, 2011
REGAL ADVISORY SERVICES, INC.
March 6, 2009 - May 27, 2011
REGAL SECURITIES, INC.
August 3, 2004 - March 10, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 12, 2004 - March 10, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 19, 2004 - July 6, 2004
WELLS FARGO INVESTMENTS, 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
Current Firm
CAMBRIDGE INVESTMENT RESEARCH, INC.
CRD#: 39543 / SEC#: , 8-48740
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAMBRIDGE INVESTMENT GROUP, INC. | SHAREHOLDER/HOLDING COMPANY | |
| BELL, COLLEEN MCGUIRE | PRESIDENT INNOVATION AND EXPERIENCE; DIRECTOR | 5077188 |
| BOEN, RYAN | EVP, CHIEF FINANCIAL OFFICER/FINOP, PRINCIPAL OPERATIONS OFFICER | 7842316 |
| KUHLMAN, RICHARD HENRY | SVP, CHIEF LEGAL OFFICER | 7076563 |
| MILLER, SETH AARON | PRESIDENT ADVOCACY & ADMINISTRATION; GENERAL COUNSEL; DIRECTOR | 5495508 |
| ROBBINS, TAMMY ANN | EXECUTIVE VICE PRESIDENT/CHIEF BUSINESS DEVELOPMENT OFFICER | 3125668 |
| ROLLINS, EDDIE THOMAS | EXECUTIVE VICE PRESIDENT, MANAGING DIRECTOR - BRIDGEPORT | 1523500 |
| SHAFER, ANDREA LYNN | EVP, CHIEF SUPERVISION OFFICER | 5448499 |
| STONE, CARLA JEAN | FIRST VICE PRESIDENT, FINANCE/CHIEF ACCOUNTING OFFICER | 3193985 |
| TURNER, GREGORY WALTER | EVP, CONSULTING SERVICES | 3144311 |
| VEST, VALARIE KNOBLOCK | EVP, CHIEF EXPERIENCE OFFICER | 3074142 |
| VIVACQUA, JEFFREY FRANCIS | PRESIDENT GROWTH AND DEVELOPMENT; DIRECTOR | 2608892 |
| WEBBER, AMY LYNN | CEO, SECRETARY; DIRECTOR | 1812670 |
| YOUHN, STEPHEN MICHAEL | CHIEF COMPLIANCE OFFICER | 1414691 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 4 |
Red Flags
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