Glenn S. Cushman
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.
Glenn Scott Cushman was a registered financial professional .
Glenn is a previously registered financial professional and started their career in finance in 1980. Glenn had worked at 7 firms and has passed the Series 63, Series 7, Series 53, Series 4, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 2, 1997 - June 22, 1998
ROUND HILL SECURITIES, INC.
October 18, 1991 - February 27, 1997
DICKINSON & CO.
October 22, 1983 - August 16, 1991
MASON, HUNT & CO., INC.
February 28, 1983 - August 16, 1983
PLENGE, THOMAS & GUNNING SECURITIES, INC.
November 30, 1981 - January 31, 1983
PRUDENTIAL EQUITY GROUP, LLC
September 29, 1980 - November 15, 1981
BOETTCHER & COMPANY, INC.
July 24, 1980 - October 12, 1980
UBS FINANCIAL SERVICES 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
Current Firm
ROUND HILL SECURITIES, INC.
CRD#: 35223 / SEC#: , 8-46591
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROUND HILL HOLDINGS, INC. | OWNER | |
| ANTONIADES, ADAM NICHOLAS | PRESIDENT/CEO/DIRECTOR | 2261744 |
| DORN, DIANA GAYLE | SVP, CROP, CHIEF COMPLIANCE OFFICER | 1088981 |
| EMFINGER, TERRY LEWIS | EXECUTIVE VICE PRESIDENT/SECRETARY/TREASURER/DIRECTOR | 2206745 |
| LENHARDT, ARTHUR WILLIAM | SENIOR VICE PRESIDENT, SROP | 306553 |
| SBOTO, THOMAS JOSEPH | EXECUTIVE VICE PRESIDENT | 1497190 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 4 |
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.
