George B. Garuccio
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 Bruno Garuccio, who also goes by George Garuccio, was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1983. George had worked at 13 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 25, 2001 - April 23, 2024
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
January 3, 1995 - November 5, 2001
JOSEPHTHAL & CO., INC.
January 2, 1992 - January 5, 1995
OPPENHEIMER & CO. INC.
March 4, 1991 - December 31, 1991
W.H. NEWBOLD'S SON & CO., INC.
January 17, 1990 - January 8, 1991
JJC SECURITIES CO., INC.
January 2, 1990 - January 27, 1990
HANIFEN, IMHOFF SECURITIES CORP.
February 18, 1987 - January 2, 1990
MOORE & SCHLEY, CAMERON & CO.
August 22, 1985 - December 4, 1986
KUHNS BROTHERS & LAIDLAW, INC.
July 18, 1985 - August 29, 1985
GREENTREE SECURITIES CORP.
July 12, 1985 - August 1, 1985
UNIVERSAL SECURITIES OF AMERICA, INC.
November 18, 1983 - July 15, 1985
CREATIVE SECURITIES CORP.
March 14, 1983 - May 9, 1984
SUTTON PLACE SECURITIES, INC.
January 24, 1983 - February 8, 1983
BLINDER, ROBINSON & CO., 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
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
CRD#: 18487 / SEC#: , 8-37085
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERICAN PORTFOLIOS HOLDINGS, INC. | 100% SHAREHOLDER | |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| DOLBER, LON TERRY | DIRECTOR | 862635 |
| DOLBER, LON TERRY | CEO & PRESIDENT | 862635 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR | 2627931 |
| SCHLUETER, MATTHEW ADAM | EVP | 2627931 |
| SCHMIDT, DAVID MARTIN | FINANCIAL & OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
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.
