John C. Glase
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.
John Charles Glase, who also goes by John C Glase, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1981. John had worked at 5 firms and has passed the Series 63, Series 15, Series 5, Series 7 and Series 30 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 5, 2002 - April 6, 2005
REFCO SECURITIES, LLC
January 22, 1999 - December 31, 2000
NEXT ADVISORS INC.
May 21, 1996 - February 4, 1997
J.C. BRADFORD & CO.
October 15, 1982 - April 8, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 18, 1981 - October 1, 1982
LEHMAN BROTHERS 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 15
Date: 11/14/1985
Foreign Currency Options ExaminationSeries 5
Date: 10/17/1981
Interest Rate Options ExaminationCurrent Firm
REFCO SECURITIES, LLC
CRD#: 14094 / SEC#: , 8-26718
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
| Civil Event | 1 |
| Arbitration | 3 |
| Bond | 1 |
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.
