Individual Firm
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LORI A GLENNON
LORI ANNE GLENNON, LORI ANNE HAHN, LORI ANNE HAHN GLENNON
CRD#: 1108918
IA
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CARUSO MCLEAN & CO., INC.CRD#: 126084 130 LOMOND COURT
UTICA, NY 13502
UTICA, NY 13502
0
Disclosures
40
Years of Experience
View By:
State Registrations
IA
New York 7/2/2021
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Registered with this firm since 3/1/2012
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/26/2021 - 02/06/2025 | UTICA, NY | |
B | 01/06/2012 - 02/06/2025 | UTICA, NY | |
IA | 12/13/2010 - 01/09/2012 | NEW HARTFORD, NY | |
B | 11/16/2000 - 01/09/2012 | NEW HARTFORD, NY | |
IA | 05/15/2007 - 12/07/2009 | NEW HARTFORD, NY | |
B | 07/09/1993 - 11/29/2000 | FORT MILL, SC | |
B | 01/10/1992 - 07/12/1993 | SCOTTSDALE, AZ | |
B | 11/19/1989 - 02/08/1990 | SCOTTSDALE, AZ | |
B | 03/16/1988 - 11/19/1989 | ||
B | 03/06/1984 - 03/22/1988 | ||
B | 03/25/1983 - 05/25/1984 |
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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.