James L. Glidden
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 Louis Petigru Glidden, who also goes by James Louispetig Glidden, James Louispetigru Glidden, James Louis Petigru Glider, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1990. James had worked at 6 firms and has passed the Series 63, Series 7TO, SIE, Series 3 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
November 29, 2022 - December 31, 2023
FIRST LIBERTIES FINANCIAL
August 19, 2020 - March 8, 2021
FOX CHASE CAPITAL PARTNERS, LLC
September 8, 1995 - July 22, 2010
J.P. MORGAN SECURITIES LLC
October 4, 1993 - September 14, 1995
LEHMAN BROTHERS INC.
December 24, 1991 - October 1, 1993
LEHMAN GOVERNMENT SECURITIES INC.
May 9, 1990 - January 15, 1992
SBC WARBURG, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 8/19/2020
General Securities Representative ExaminationCurrent Firm
FIRST LIBERTIES FINANCIAL
CRD#: 14432 / SEC#: , 8-30673
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PELION FINANCIAL GROUP, INC. | OWNER | |
| BERGMAN, HILARY GUY | DIRECTOR, PRESIDENT, FINOP, AMLCO, & CHIEF COMPLIANCE OFFICER | 1834738 |
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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