Stephen H. Wathen
Professional summary
Stephen Harper Wathen, who also goes by S. Harper Wathen, is a registered financial professional currently at GLC SECURITIES, LLC located in New York, New York.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 2017. Stephen has worked at 1 firm and has passed the Series 63, SIE and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stephen Harper Wathen's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 29, 2017 - Present
GLC SECURITIES, LLC
Office #1: 600 Lexington Avenue 9th Floor, New York, NY 10022State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/6/2017)
(6/29/2017)
(7/6/2017)
Exams
FINRA
Current Firm
GLC SECURITIES, LLC
CRD#: 153581 / SEC#: , 8-68557
Contact information
FINRA licenses (3 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GLC ADVISORS & CO. HOLDINGS, LLC | OWNER | |
| BENNINGER, THOMAS MICHAEL | PRINCIPAL | |
| HAN, ABRAHAM T | PRINCIPAL | |
| KINZER, CAROL ANN | FINOP/CFO | 4519471 |
| REYNERTSON, JON SOREN | PRINCIPAL/CEO/CCO |
Red Flags
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