George E. Doughton
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 Edward Doughton III, who also goes by Ged Doughton III, Ged Doughton, George Edward III Doughton, was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1983. George had worked at 9 firms and has passed the Series 65, Series 63, Series 3 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
March 23, 2011 - August 15, 2014
NEW ENGLAND SECURITIES
March 3, 2011 - August 15, 2014
NEW ENGLAND SECURITIES
June 8, 2007 - March 15, 2011
UBS FINANCIAL SERVICES INC.
June 8, 2007 - March 15, 2011
UBS FINANCIAL SERVICES INC.
January 17, 2006 - June 19, 2007
MORGAN KEEGAN & COMPANY, LLC
January 17, 2006 - June 19, 2007
MORGAN KEEGAN & COMPANY, LLC
June 28, 2001 - January 19, 2006
OSAIC FA, INC.
June 28, 2001 - January 19, 2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
June 28, 2001 - January 19, 2006
OSAIC FA, INC.
November 20, 1996 - July 2, 2001
CETERA WEALTH SERVICES, LLC
February 7, 1990 - November 29, 1996
FIRST UNION CAPITAL MARKETS CORP.
January 21, 1985 - January 18, 1990
FIRST TRYON SECURITIES, LLC
April 19, 1983 - December 14, 1984
KIDDER, PEABODY & CO. INCORPORATED
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
NEW ENGLAND SECURITIES
CRD#: 615 / SEC#: 801-47061, 8-13910
Contact information
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEW ENGLAND LIFE INSURANCE COMPANY ("NELICO" OR "NEW ENGLAND FINANCIAL") | 100% SHAREHOLDER | |
| COHN, MARC ALLAN | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER | 2464524 |
| CRUZ, ORLANDO RAFAEL JR | PRESIDENT AND CHAIRMAN | 2311194 |
| FORGET, ELIZABETH MARY | DIRECTOR AND CHAIRMAN | 2767945 |
| HALPERIN, JEFFREY PAUL | ANTI-MONEY LAUNDERING OFFICER | 2899327 |
| HALPERIN, JEFFREY PAUL | CHIEF COMPLIANCE OFFICER, BROKER-DEALER | 2899327 |
| HONKUS, TINA MARIE | VICE-PRESIDENT, LICENSING AND REGISTRATION | 1288648 |
| LACEK, MICHAEL J | CHIEF LEGAL OFFICER | |
| LAPIANA, PAUL ANTHONY | DIRECTOR | 2237245 |
| MARTINEZ, JOHN GREGORY | VICE PRESIDENT AND FINANCIAL OPERATIONS PRINCIPAL | 2210722 |
| MINK, DAVID MYERS | CHIEF OPERATIONS OFFICER | 2606831 |
| MURPHY, SEAN ANDREW | VICE-PRESIDENT | 1963911 |
| REYNOLDS, TYLA LYNN | SECRETARY | 6318828 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 10 |
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.
