GLEN CHARLES MISHLER is currently employed as a Broker and/or Investment Adviser at APW CAPITAL, INC. located at 8100 EAST 22ND STREET, BLDG 100-8, WICHITA, KS, 67226.
GLEN CHARLES MISHLER has worked at APW CAPITAL, INC. since July 23, 2010
GLEN CHARLES MISHLER has 2 Disclosure Event(s).
Date: September 07, 1990 Category: Regulatory Initiated By: KANSAS SECURITIES COMMISSIONER Allegations: RESPONDENT MISHLER ENGAGED IN ACTIVITIES ASAN INVESTMENT ADVISOR WHILE UNREGISTERED IN THE STATE. Resolution: Consent SanctionDetails: Sanctions: Cease and Desist/Injunction Sanction Details: ON 9/7/90 RESPONDENT MISHLER ENTERED INTO ACONSENT ORDER AGREEING TO CEASE AND DESIST FROM VIOLATING THEREGISTRATION PROVISIONS OF THE KANSAS SECURITIES ACT. Broker Comment: MR MISHLER WAS REGISTERED AS INVESTMENT ADVISORWITH PRIMELINE ADVISORY INC (PAI) UNTIL DECEMBER 1988. INDECEMBER 1988, HIS REGISTRATION WITH PAI WAS TERMINATED ASOPERATION OF PLANNED PROFESSIONAL ADVISORY WAS FUNCTIONAL.MISHLER DID NOT IMMEDIATELY REREGISTER WITH THE SEC OR KSCBASED ON THE INVESTMENT ADVISORS ACT REGULATION WHICH EXEMPTSINVESTMENT ADVISORS FROM REGISTRATION IF THEY HAVE FEWER THAN15 CLIENTS IN PREVIOUS 12 MONTHS, MR MISHLER WAS IN THISCATEGORY BUT WAS UNAWARE KANSAS HAD NO SUCH EXEMPTION. HE WASSUBSEQUENTLY REGISTERED AS ABOVE.
Date: December 02, 1983 Category: Criminal Charges: PETTY LARCENY. CHRISTMAS TREES WERE TAKENFROM TREE LOT TO GIVE TO PEOPLE WHO COULDN'T AFFORD THEM. ALLCHARGES WERE DROPPED Charge Type: MISDEMEANOR Disposition: ALL CHARGES DROPPED AND DISMISSED ALL ABOVE WASREPORTED ON PREVIOUS U-4 ON 11-26-85 AND IS A MATTER OFPREVIOUS RECORD. THE WICHITA MUNICIPAL COURTS ONLY KEEP RECORDSON THIS TYPE OF EVENT FOR 5YRS; THEREFORE, THEY HAVE PURGEDTHIS FROM THEIR FILES Broker Comment: TOOK SOME X-MAS TREE FROM X-MAS TREE LOT TO GIVE TO POOR WHO COULD NOT FAFFORD A TREE
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