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SG

Stephen L. Glazer

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CRD#: 731212
SG

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.

Stephen Louis Glazer, who also goes by Stephen Lewis Glazer, Steven Louis Glazer, was a registered financial professional .

Stephen is a previously registered financial professional and started their career in finance in 1981. Stephen had worked at 8 firms and has passed the Series 63, Series 7, Series 3, Series 5 and Series 52 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Stephen Lewis Glazer | Steven Louis Glazer

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

September 19, 1997 - September 25, 1998

BERNARD, RICHARDS SECURITIES, INC.

BD
CRD#: 32653
NEW YORK, NY
Past

August 21, 1996 - April 8, 1997

CHURCHILL SECURITIES, INC.

BD
CRD#: 10343
SUFFERN, NY
Past

February 22, 1994 - October 12, 1994

CHURCHILL SECURITIES, INC.

BD
CRD#: 10343
SUFFERN, NY
Past

May 24, 1993 - March 3, 1994

FIRST MADISON SECURITIES, INC.

BD
CRD#: 14288
MONTVILLE, NJ
Past

November 2, 1988 - June 30, 1992

FIRST INTERREGIONAL EQUITY CORP.

BD
CRD#: 7486
MILBURN, NJ
Past

April 6, 1983 - June 12, 1986

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
Past

July 6, 1982 - April 21, 1983

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
Past

January 7, 1982 - July 7, 1982

BEVILL, BRESLER & SCHULMAN INCORPORATED

BD
CRD#: 6971
Past

May 18, 1981 - December 21, 1981

DONALD SHELDON & CO., INC.

BD
CRD#: 6966

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 12/1/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/15/1988
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 8/2/1983
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 5
Date: 2/1/1983
Interest Rate Options Examination
General Industry/Product Exam
RR
Series 52
Date: 5/16/1981
Municipal Securities Representative Examination

Current Firm

BR
BERNARD, RICHARDS SECURITIES, INC.
BERNARD, RICHARDS SECURITIES, INC.

CRD#: 32653 / SEC#: , 8-46417

BD
Terminated by SEC on 02/19/2006
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 02/05/1993
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
SEIFER, RICHARD FRANKLINPRESIDENT/CONTROLLING SHAREHOLDER418196
MADELINE SEIFERDIRECTOR
MORRONE, RONALD EDWARDCROP SROP601427

Disclosures

Regulatory Event2

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.

Company Information

BERNARD, RICHARDS SECURITIES, INC.

CRD#: 32653

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