Ronald D. Glickman
Professional summary
Ronald David Glickman, who also goes by Ron Glickman, is a registered financial professional currently at CHARDAN CAPITAL MARKETS LLC located in New York, New York.
Ronald is registered as a RR (Registered Representative) and started their career in finance in 1979. Ronald has worked at 10 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 3, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Ronald David Glickman's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 19, 2009 - Present
CHARDAN CAPITAL MARKETS LLC
Office #1: 1 Pennsylvania Plaza Suite 4800, New York, NY 10119July 25, 2005 - March 19, 2009
EARLYBIRDCAPITAL, INC.
September 26, 2000 - July 28, 2005
WELLS FARGO CLEARING SERVICES, LLC
July 1, 1998 - September 26, 2000
COWEN AND COMPANY
January 18, 1996 - July 1, 1998
FINANCIAL SQUARE PARTNERS
November 22, 1991 - November 28, 1995
ALEX. BROWN & SONS INCORPORATED
March 1, 1988 - November 26, 1991
UBS FINANCIAL SERVICES INC.
January 29, 1988 - March 8, 1988
CIBC WORLD MARKETS CORP.
December 11, 1986 - February 5, 1988
L. F. ROTHSCHILD & CO. INCORPORATED
November 28, 1979 - December 15, 1986
D. H. BLAIR & CO., 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
(4/12/2011)
(4/6/2011)
(4/14/2011)
(4/6/2011)
(3/20/2009)
(3/19/2009)
(3/19/2009)
(3/27/2009)
(4/11/2011)
(3/27/2009)
(3/19/2009)
(4/5/2011)
(3/20/2009)
(6/9/2015)
(3/19/2009)
(3/19/2009)
(3/26/2009)
(3/19/2009)
(3/19/2009)
(3/19/2009)
(3/19/2009)
(3/19/2009)
(4/6/2011)
(3/19/2009)
(5/3/2011)
(3/19/2009)
(1/13/2021)
(4/14/2011)
(3/19/2009)
(4/11/2011)
(3/19/2009)
(4/5/2011)
(3/19/2009)
Exams
Series 79TO
Date: 1/9/2020
Investment Banking Registered Representative ExaminationSeries 1
Date: 11/15/1979
Registered Representative ExaminationFINRA
Nasdaq Stock Market
Current Firm
CHARDAN CAPITAL MARKETS LLC
CRD#: 120128 / SEC#: , 8-65277
Contact information
FINRA licenses (40 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CHARDAN SECURITIES, LLC | MEMBER | |
| GROSSMAN, JONAS SVEN MAGNUS | PRESIDENT | 3186901 |
| MILLER, ANDREW DAVID | FINOP | 5106774 |
| MILLER, ANDREW DAVID | PRINCIPAL OPERATIONS CFFICER | 5106774 |
| MILLER, ANDREW DAVID | PRINCIPAL FINANCIAL OFFICER | 5106774 |
| SOUTHWICK, DWIGHT CHRISTIAN | CHIEF COMPLIANCE OFFICER AND AML COMPLIANCE OFFICER | 1353036 |
| URBACH, STEVEN AARON | CEO | 4137317 |
Disclosures
| Regulatory Event | 14 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
