Robert H. Pozner
Professional summary
Robert Harris Pozner was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Robert is a previously registered financial professional and started their career in finance in 1982. Prior to being barred, Robert had worked at 6 firms, which includes GLENN MICHAEL FINANCIAL INC., INVESTORS ASSOCIATES INC., BERKELEY SECURITIES CORPORATION, GLOBAL CAPITAL SECURITIES INC., VICEROY INTERNATIONAL SECURITIES CORP., AMERICAN VENTURE SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 4, 1997 - December 31, 2002
GLENN MICHAEL FINANCIAL, INC.
August 13, 1992 - June 26, 1997
INVESTORS ASSOCIATES, INC.
October 26, 1990 - July 7, 1992
BERKELEY SECURITIES CORPORATION
February 26, 1990 - October 17, 1990
GLOBAL CAPITAL SECURITIES, INC.
January 1, 1987 - January 23, 1990
BERKELEY SECURITIES CORPORATION
September 18, 1986 - October 7, 1986
VICEROY INTERNATIONAL SECURITIES CORP.
January 13, 1986 - February 3, 1986
VICEROY INTERNATIONAL SECURITIES CORP.
December 10, 1982 - March 25, 1987
AMERICAN VENTURE SECURITIES, INC.
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
Series 55
Date: 3/3/2000
Limited Representative-Equity Trader ExamPC
Date: 9/20/1991
AMEX Put and Call ExamSeries 1
Date: 11/25/1968
Registered Representative ExaminationCurrent Firm
GLENN MICHAEL FINANCIAL, INC.
CRD#: 37912 / SEC#: , 8-47988
Contact information
Documents
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 | 6 |
| Civil Event | 1 |
| Arbitration | 7 |
Red Flags
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