James D. Glenn
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 Derie Glenn JR, who also goes by James Derie Glenn, James Glenn, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2011. James had worked at 2 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 7, 2015 - March 13, 2017
FORESTERS FINANCIAL SERVICES, INC.
December 7, 2011 - March 5, 2015
WELLS FARGO CLEARING SERVICES, 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
FORESTERS FINANCIAL SERVICES, INC.
CRD#: 305 / SEC#: , 8-13891
Contact information
Documents
Disclosures
| Regulatory Event | 34 |
| Civil Event | 3 |
| Arbitration | 18 |
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.
