George P. Hasapes
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 Peter Hasapes was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1982. George had worked at 20 firms and has passed the Series 63, Series 7 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
February 26, 2007 - April 20, 2012
ROCKWELL GLOBAL CAPITAL LLC
July 20, 2006 - June 7, 2007
ADVANCED PLANNING SECURITIES, INC.
February 14, 2005 - July 21, 2006
MEETING STREET BROKERAGE, LLC
September 24, 2004 - February 25, 2005
ELECTRONIC ACCESS DIRECT, INC.
January 15, 2003 - August 31, 2004
MERRIMAC CORPORATE SECURITIES, INC.
September 25, 2000 - November 5, 2004
ALLEN DOUGLAS SECURITIES, INC.
November 24, 1998 - October 25, 1999
ROYCE INVESTMENT GROUP, INC.
June 21, 1996 - November 19, 1996
KENSINGTON WELLS INCORPORATED
October 15, 1992 - June 17, 1994
INVESTORS ASSOCIATES, INC.
July 9, 1992 - October 7, 1992
LADENBURG THALMANN & CO. INC.
February 6, 1991 - June 4, 1992
BERKELEY SECURITIES CORPORATION
January 31, 1990 - February 5, 1991
GLOBAL AMERICA INCORPORATED
February 9, 1987 - February 2, 1990
SOUTH RICHMOND SECURITIES, INC.
September 4, 1986 - January 29, 1987
KUREEN & COOPER, INC.
July 2, 1986 - October 2, 1986
PRESTIGE INVESTORS, INC.
March 12, 1986 - July 10, 1986
NORBAY SECURITIES INC.
September 25, 1985 - March 24, 1986
S. D. COHN & CO.
July 30, 1985 - September 27, 1985
SHELTER ROCK SECURITIES CORP.
October 19, 1983 - July 15, 1985
CREATIVE SECURITIES CORP.
October 20, 1982 - September 19, 1983
FIRST JERSEY SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ROCKWELL GLOBAL CAPITAL LLC
CRD#: 142485 / SEC#: , 8-67467
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
| Arbitration | 7 |
Red Flags
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