James P. Glennan
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.
James Patrick Glennan was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2008. James had worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 15, 2014 - November 21, 2014
EMPIRE STATE FINANCIAL, INC.
November 28, 2012 - May 17, 2013
NATIONAL SECURITIES CORPORATION
May 3, 2010 - December 1, 2010
PFS INVESTMENTS INC.
October 28, 2008 - November 5, 2009
OBSIDIAN FINANCIAL GROUP, LLC
March 4, 2008 - July 29, 2008
J.P. MORGAN SECURITIES 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
EMPIRE STATE FINANCIAL, INC.
CRD#: 5657 / SEC#: , 8-16309
Contact information
FINRA licenses (26 States and Territories)
Direct owners and executive officers
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.
