George M. Robertson
Professional summary
George Mackley Robertson was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
George is a previously registered financial professional and started their career in finance in 1982. Prior to being barred, George had worked at 5 firms, which includes KESTRA INVESTMENT SERVICES LLC, KESTRA PRIVATE WEALTH SERVICES LLC, YAMAICHI INTERNATIONAL (AMERICA) INC., JAMIE SECURITIES CO., SALOMON BROTHERS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 9, 2015 - February 9, 2015
KESTRA INVESTMENT SERVICES, LLC
February 9, 2015 - December 19, 2016
KESTRA PRIVATE WEALTH SERVICES, LLC
January 5, 2015 - December 19, 2016
KESTRA INVESTMENT SERVICES, LLC
July 12, 1988 - September 27, 1988
YAMAICHI INTERNATIONAL (AMERICA) INC.
December 1, 1987 - May 31, 1988
JAMIE SECURITIES CO.
February 26, 1982 - August 12, 1985
SALOMON BROTHERS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 5
Date: 7/30/1982
Interest Rate Options ExaminationCurrent Firm
KESTRA INVESTMENT SERVICES, LLC
CRD#: 42046 / SEC#: , 8-49672
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESTRA FINANCIAL, INC | SOLE MEMBER | |
| AMORE, JOHN VINCENT | PRESIDENT | 5430932 |
| CHESTER, KRISTEN LAWLESS | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 6896952 |
| KANT, VINAY | CHIEF DIGITAL TECHNOLOGY OFFICER | 7976827 |
| PEDLOW, MICHAEL ROSS | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 4871563 |
| POER, JAMES LYNN | CHIEF EXECUTIVE OFFICER | 1983357 |
| SCHOENBECK, MARK PAUL | EXECUTIVE VICE PRESIDENT | 2625829 |
| YIN, YIN | CONTROLLER | 3219513 |
| ZEGERS, SCOTT MATTHEW | CHIEF FINANCIAL OFFICER | 4831659 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
Red Flags
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