Individual Firm
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DAVID ALEXANDER GLENNON
David A Glennon
CRD#: 1039910
IA
B
MORGAN STANLEYCRD#: 149777 340 Mount Kemble Avenue
Morristown, NJ 07960
Morristown, NJ 07960
View By:
10/19/2003
Customer Dispute
Pending
State Registrations
B
California 9/28/2023
B
New Jersey 9/28/2023
B
Colorado 9/28/2023
IA
New Jersey 9/28/2023
B
Connecticut 9/28/2023
B
New York 9/28/2023
B
Florida 9/28/2023
B
North Carolina 9/28/2023
B
Georgia 9/28/2023
B
Ohio 9/28/2023
B
Indiana 9/28/2023
B
Pennsylvania 9/28/2023
B
Maine 9/28/2023
B
South Carolina 9/28/2023
B
Maryland 9/28/2023
B
Tennessee 9/28/2023
B
Massachusetts 9/28/2023
B
Vermont 9/28/2023
B
Michigan 1/13/2025
B
Virginia 9/28/2023
B
Minnesota 9/28/2023
B
Wisconsin 9/28/2023
B
New Hampshire 9/28/2023
SRO Registrations
B
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 9/28/2023
B
Registered with this firm since 9/27/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 12/15/2003 - 12/03/2007 | NEW YORK, NY | |
IA | 06/29/1998 - 10/15/2003 | PRINCETON, NJ | |
B | 05/01/1998 - 09/30/2002 | NEW YORK, NY |
PRINCETON, NJ
06/29/1998 - 10/15/2003
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.