Robert Harris Pozner
Professional Summary
Robert Harris Pozner was a registered financial advisor. Robert was a previously registered financial professional and started their career in finance 1982 - 2002. Robert had worked at 6 firms and has passed the Series 63, Series 55, PC, Series 1 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
58 years in the financial services industry
Current & Past Employments
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Current Firm
GLENN MICHAEL FINANCIAL, INC.
Contact Information
Established
New York since 05/18/1994Firm Type
CorporationFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GMF HOLDING CORP. | SHAREHOLDER | — |
| AULLETTA, GARY GLENN | GENERAL PRINCIPAL | 8790 |
| BENOWITZ, ROBERT LAWRENCE | HEAD TRADER | 2181059 |
| KAVANAGH, JOSEPH ROBERT | GENERAL PRINCIPAL | 1348454 |
| LANAIA, FRANCINE ANN | VICE PRESIDENT, COMPLIANCE DIRECTOR | 1415689 |
| LANAIA, GLENN MICHAEL | PRESIDENT, FINOP | 1122707 |
| MERKENT, JOHN EDWARD | SROP | 1878878 |
Disclosures
Regulatory Event
6Civil Event
1Arbitration
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Mar 2000PC — AMEX Put and Call Exam
Passed Sep 1991Series 1 — Registered Representative Examination
Passed Nov 1968Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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