Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Glen? Claim Your ProfileGlen Scott Zaintz is an Investment Advisor Representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Glen has been active in the financial services industry since 1986 and has worked at multiple firms including RBC Capital Markets, LLC and Wachovia Securities, LLC. Glen has experience providing investment advice and portfolio management for a variety of clients, including corporations, individuals, insurance companies, pension plans, and charitable organizations. Glen has earned multiple licenses including the Series 7, Series 31, and Series 65.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NY
07/16/2013 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
NY
07/16/2004 - 02/11/2011
RBC CAPITAL MARKETS, LLC (NEW YORK NY)
MO
07/01/2003 - 07/19/2004
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NY
07/13/2000 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
12/06/1993 - 07/19/2000
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NJ
08/22/1986 - 12/10/1993
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NA
11/26/1984 - 02/07/1985
PHILIPS, APPEL & WALDEN, INC.
NA
07/06/1984 - 11/16/1984
CHESLEY AND DUNN, INC.
NA
06/07/1984 - 06/07/1984
FIRST INTERWEST SECURITIES CORPORATION
IA
Issued 09/09/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/30/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/14/1998
Series 31 - Futures Managed Funds Examination
BC
Issued 05/19/1984
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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