Individual Firm
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EDWARD ALBERT GLENN
CRD#: 1157954
IA
B
MORGAN STANLEYCRD#: 149777 SOUTHPORT, NC
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4/29/2013
Customer Dispute
Award / Judgment
State Registrations
B
Arizona 5/19/2015
B
North Carolina 6/1/2009
B
California 6/1/2009
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North Carolina 3/6/2014
B
Connecticut 6/1/2009
B
Ohio 5/5/2021
B
Delaware 8/19/2019
B
Oregon 6/1/2009
B
District of Columbia 6/16/2020
B
Pennsylvania 6/1/2009
B
Florida 6/1/2009
B
Puerto Rico 6/1/2009
B
Georgia 12/21/2017
B
Rhode Island 3/6/2019
B
Illinois 6/1/2009
B
South Carolina 5/12/2020
B
Maine 1/8/2010
B
Texas 6/1/2009
B
Maryland 2/7/2018
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Texas 4/15/2020
B
Massachusetts 6/1/2009
B
Vermont 6/1/2009
B
Nevada 6/1/2009
B
Virginia 6/1/2009
B
New Hampshire 6/1/2009
B
Washington 12/6/2017
B
New Jersey 6/1/2009
B
West Virginia 6/12/2020
B
New York 6/1/2009
B
Wisconsin 1/31/2019
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New York 9/3/2021
SRO Registrations
B
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
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IA
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 10/26/1987 - 06/01/2009 | NEW YORK, NY | |
B | 07/21/1983 - 10/30/1987 |
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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.