George E. Moldenhauer
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
George Erwin Moldenhauer, who also goes by George Ervin Moldenhauer, was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1982. George had worked at 14 firms and has passed the Series 63, Series 7, Series 22, Series 30 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 1, 2001 - December 31, 2003
BROOKSTREET SECURITIES CORPORATION
February 26, 2001 - April 6, 2001
MB TRADING
September 12, 2000 - February 16, 2001
INVESTIN SECURITIES CORP.
April 5, 1999 - June 16, 2000
SUMMIT TRADING, INC.
February 14, 1997 - June 1, 1998
CENTENNIAL CAPITAL MANAGEMENT, INC.
August 19, 1996 - December 4, 1996
WELLS FARGO SECURITIES INC.
May 7, 1996 - August 19, 1996
FIRST INTERSTATE INVESTMENTS,INC.
July 23, 1991 - March 29, 1996
BROOKSTREET SECURITIES CORPORATION
June 21, 1988 - June 6, 1991
YOUNG, STOVALL AND COMPANY
January 19, 1987 - June 14, 1988
AMERICAN CAPITAL EQUITIES, INC.
December 10, 1985 - January 29, 1987
KENNEDY, CABOT & CO.
September 25, 1984 - December 17, 1985
EASTERN CAPITAL SECURITIES, INC.
June 13, 1984 - November 14, 1985
GELDERMANN SECURITIES INC.
March 27, 1984 - May 22, 1984
SOUTHMARK FINANCIAL SERVICES, INC.
March 8, 1982 - March 27, 1984
S.N.I. SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
BROOKSTREET SECURITIES CORPORATION
CRD#: 14667 / SEC#: , 8-31032
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROOKS FAMILY TRUST, STANLEY BROOKS TRUSTEE | SHAREHOLDER / OWNER | |
| BROOKS, STANLEY CLIFTON | PRESIDENT AND TRUSTEE OF BROOKSTREET FAMILY TRUST | 31684 |
Disclosures
| Regulatory Event | 25 |
| Civil Event | 1 |
| Arbitration | 22 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
