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NG

Neil H. Glassman

Some features on this profile are disabled
CRD#: 833869
NG

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.

Neil Hilton Glassman was a registered financial professional .

Neil is a previously registered financial professional and started their career in finance in 1977. Neil had worked at 13 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 4 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

January 20, 2015 - July 12, 2021

WALLACHBETH CAPITAL LLC

BD
CRD#: 147853
JERSEY CITY, NJ
Past

November 3, 2014 - February 9, 2015

GILFORD SECURITIES INCORPORATED

BD
CRD#: 8076
NEW YORK, NY
Past

February 18, 2011 - October 23, 2014

MILLER TABAK + CO., LLC

BD
CRD#: 47293
NEW YORK, NY
Past

May 17, 2010 - February 15, 2011

DIRECT ACCESS PARTNERS LLC

BD
CRD#: 120950
NEW YORK, NY
Past

February 4, 2008 - May 6, 2010

CANTOR FITZGERALD & CO.

BD
CRD#: 134
NEW YORK, NY
Past

March 6, 2007 - January 9, 2008

DIVINE CAPITAL MARKETS LLC

BD
CRD#: 118212
NEW YORK, NY
Past

July 1, 2003 - November 3, 2006

WELLS FARGO SECURITIES, LLC

BD
CRD#: 126292
CHARLOTTE, NC
Past

March 28, 2003 - July 1, 2003

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

February 24, 2000 - April 9, 2003

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

June 11, 1997 - March 13, 2000

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

April 8, 1992 - January 4, 1996

SALOMON BROTHERS INC.

BD
CRD#: 740
NEW YORK, NY
Past

November 2, 1982 - March 17, 1986

S. B. LEWIS & COMPANY

BD
CRD#: 8221
Past

September 27, 1978 - June 2, 1982

WAGNER, STOTT & CO.

BD
CRD#: 3690
Past

March 1, 1977 - August 10, 1978

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79

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: 6/12/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 11/25/1998
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 2/19/1977
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 6/9/1980
Registered Options Principal Examination

Current Firm

WC
WALLACHBETH CAPITAL LLC
WALLACHBETH CAPITAL LLC

CRD#: 147853 / SEC#: , 8-67936

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
1001 Yamato Rd. Suite 404, Boca Raton, FL 33431
Mailing Address
1001 Yamato Rd. Suite 404, Boca Raton, FL 33431
Phone number
(646) 237-8585
Established
New York since 05/05/2008
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (44 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
WALLACHBETH HOLDINGS LLC95% OWNER
SAGO MANAGEMENT, LLC5% OWNER
BETH, DAVID JAYCOO/PRESIDENT/ MANAGING MEMBER2470494
OH, SEUNG CHEOLCFO, FNOP4632040
SCHWEITZER, ERIC BRUCECHIEF COMPLIANCE OFFICER1036891
WALLACH, MICHAEL CONRADCHIEF EXECUTIVE OFFICER/MANAGING MEMBER2376092

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

WALLACHBETH CAPITAL LLC

CRD#: 147853

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