James R. 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 Reynolds Glenn, who also goes by James Reynold Glenn, Jim Glenn, James Reynolds Kramer, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1981. James had worked at 14 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 19, 2003 - June 6, 2003
MERCANTILE SECURITIES, INC.
October 1, 2000 - June 7, 2002
WELLS FARGO CLEARING SERVICES, LLC
June 18, 1999 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
July 7, 1998 - August 26, 1998
AMERICAN FRONTEER FINANCIAL CORPORATION
June 18, 1997 - September 10, 1997
VOSS & CO., INC.
September 15, 1994 - April 23, 1996
CAPITOL SECURITIES MANAGEMENT, INC.
November 15, 1991 - September 14, 1994
FERRIS, BAKER WATTS, LLC
January 17, 1989 - December 16, 1991
DOMINICK & DICKERMAN LLC
November 16, 1987 - February 23, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 27, 1986 - November 27, 1987
FIRST UNION CAPITAL MARKETS CORP.
March 26, 1985 - October 31, 1986
DOMIK CORP.
December 23, 1982 - March 26, 1985
KUHNS BROTHERS & LAIDLAW, INC.
April 13, 1982 - June 17, 1982
PRUDENTIAL EQUITY GROUP, LLC
February 23, 1981 - November 20, 1981
LAIDLAW, MARTIN & MOYSEY, 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
MERCANTILE SECURITIES, INC.
CRD#: 109371 / SEC#: , 8-53096
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MERCANTILE-SAFE DEPOSIT & TRUST COMPANY | SHAREHOLDER | |
| BOURNE, KENNETH ALLEN JR | DIRECTOR | 4337500 |
| FLOECKHER, PETER WREN JR. | DIRECTOR | 4799776 |
| KREINER, DENNIS WAYNE | ASSISTANT SECRETARY | 4337490 |
| MCENTEE, STEWART PETER | DIRECTOR | |
| MEYER, DAVID LOUIS | CHAIRMAN | 4648404 |
| MOY, MARYLOVE HEARTY | VICE PRESIDENT | 1857181 |
| PRINCINSKY, MARY-ANN | VICE PRESIDENT | 2623736 |
| SKINNER, WILLIAM TAYLOR JR | TREASURER/FINOP | |
| STEIN, BONNIE BRESSLER | PRESIDENT | 2309775 |
| VOLLMER, JENNIFER ELIZABETH | SECRETARY | 4064825 |
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.
