James A. Glickstein
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 Alan Glickstein, who also goes by James Alan Glick, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1982. James had worked at 18 firms and has passed the Series 63, Series 18, Series 5 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
April 6, 2012 - August 27, 2013
FOX CHASE CAPITAL PARTNERS, LLC
June 25, 2010 - December 9, 2010
AMERICAN BEACON PARTNERS, INC.
June 29, 2009 - May 14, 2010
H. RIVKIN & CO., INC.
December 1, 2008 - February 19, 2009
BROOKSTONE SECURITIES, INC.
August 15, 2008 - October 7, 2008
SHEARSON FINANCIAL SERVICES, LLC
July 8, 2008 - July 29, 2008
SHEARSON FINANCIAL SERVICES, LLC
March 14, 2007 - February 6, 2008
SEABOARD SECURITIES, INC.
December 6, 2005 - March 17, 2006
SKYEBANC, INC.
August 27, 2003 - October 18, 2005
JVB FINANCIAL GROUP, LLC
June 18, 2003 - June 27, 2003
PEREGRINE FINANCIALS & SECURITIES, INC.
May 18, 2000 - December 31, 2001
DUPONT SECURITIES GROUP, INC.
July 1, 1997 - October 23, 1998
SEABOARD SECURITIES, INC.
January 17, 1996 - June 12, 1997
AUGMENT SECURITIES INC.
August 1, 1995 - November 3, 1995
FAB SECURITIES OF AMERICA, INC.
February 21, 1995 - August 10, 1995
COMMONWEALTH ASSOCIATES
April 30, 1991 - October 26, 1994
INTESA SANPAOLO IMI SECURITIES CORP.
July 5, 1989 - April 30, 1991
MABON, NUGENT & CO.
March 17, 1988 - July 15, 1989
THOMSON MCKINNON SECURITIES INC.
July 25, 1987 - October 29, 1987
THE MOCATTA CORPORATION
February 1, 1982 - October 30, 1987
FALCONWOOD SECURITIES CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 18
Date: 11/21/1981
Securities Industry Rules and Regulations ExaminationSeries 5
Date: 10/16/1981
Interest Rate Options ExaminationCurrent Firm
FOX CHASE CAPITAL PARTNERS, LLC
CRD#: 104087 / SEC#: , 8-52624
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
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