Individual Firm
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GLEN MATTHEW CESARI
CRD#: 5773749
IA
B
NORTHWEST FINANCIAL ADVISORS LLCCRD#: 166769 200 SPRING STREET
SUITE 120
HERNDON, VA 20170
SUITE 120
HERNDON, VA 20170
LPL FINANCIAL LLCCRD#: 6413 200 SPRING STREET, STE 120
HERNDON, VA 20170
HERNDON, VA 20170
View By:
7/28/2014
Customer Dispute
Denied
State Registrations
B
Alabama 1/2/2018
B
Nevada 12/12/2014
B
Arizona 3/10/2014
B
New Jersey 8/3/2022
B
Arkansas 2/1/2021
B
New Mexico 1/2/2018
B
California 7/8/2011
B
New York 3/10/2014
B
Colorado 1/6/2016
B
North Carolina 7/3/2014
B
Connecticut 2/1/2021
B
Ohio 1/2/2018
B
Delaware 3/10/2014
B
Oklahoma 5/5/2015
B
District of Columbia 7/8/2011
B
Oregon 2/27/2017
B
Florida 3/10/2014
B
Pennsylvania 2/10/2015
B
Georgia 1/6/2016
B
South Carolina 3/10/2014
B
Hawaii 3/10/2014
B
South Dakota 2/1/2021
B
Illinois 2/1/2021
B
Tennessee 3/10/2014
B
Indiana 1/26/2015
IA
Texas 9/18/2013
B
Kansas 6/7/2023
B
Texas 11/29/2018
B
Maine 1/29/2019
B
Utah 12/13/2024
B
Maryland 7/8/2011
B
Virginia 7/2/2010
B
Massachusetts 1/7/2016
IA
Virginia 11/5/2013
B
Michigan 7/11/2019
B
Washington 2/12/2016
B
Missouri 11/8/2022
B
West Virginia 7/3/2014
B
Montana 2/27/2017
B
Wisconsin 2/1/2021
B
Nebraska 11/8/2022
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 9/18/2013
B
Registered with this firm since 5/10/2010
B
Registered with this firm since 5/10/2010
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/21/2010 - 11/05/2013 | FORT MILL, SC |
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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.