Glenn G. Malloff
Professional summary
Glenn Geoffery Malloff was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Glenn is a previously registered financial professional and started their career in finance in 1981. Prior to being barred, Glenn had worked at 5 firms, which includes NORTHEAST SECURITIES LLC, WESTPORT PARTNERS LTD, PRUDENTIAL EQUITY GROUP LLC, LEHMAN BROTHERS INC., E. F. HUTTON & COMPANY INC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 19, 2002 - March 19, 2003
NORTHEAST SECURITIES, LLC
February 14, 2000 - June 14, 2002
WESTPORT PARTNERS LTD
January 5, 1988 - January 13, 2000
PRUDENTIAL EQUITY GROUP, LLC
September 28, 1983 - March 15, 1988
LEHMAN BROTHERS INC.
May 18, 1981 - September 1, 1983
E. F. HUTTON & COMPANY 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 5
Date: 6/28/1985
Interest Rate Options ExaminationSeries 15
Date: 6/21/1985
Foreign Currency Options ExaminationCurrent Firm
NORTHEAST SECURITIES, LLC
CRD#: 25996 / SEC#: , 8-42227
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INSIGNEO FINANCIAL SERVICES, LLC | SHAREHOLDER | |
| ALMERINI, LOUIS ACHILLE | FINOP | 1605183 |
| DIAMANTIS, JOHN M | CHAIRMAN | 1310200 |
| DUFFY, PAUL EDWARD | PRESIDENT | 2227111 |
| O'ROURKE, CHARLES MICHAEL | SECRETARY | 733917 |
| STICE, HAROLD EUGENE | CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER, CHIEF FINANCIAL OFFICER, ROSFP | 1349210 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 11 |
Red Flags
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