George P. Kubala
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 Kubala was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1983. George had worked at 11 firms and has passed the Series 63, Series 7, Series 52 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 15, 2001 - June 6, 2001
ALEXANDER, WESCOTT, & CO., INC.
April 8, 1999 - November 1, 1999
D.I.F. SECURITIES INC.
July 31, 1991 - March 13, 1997
FIRST ASSET MANAGEMENT, INC.
September 29, 1989 - July 23, 1991
GLOBAL CAPITAL SECURITIES, INC.
August 14, 1989 - September 28, 1989
BRENNAN ROSS SECURITIES, INC.
July 3, 1989 - July 12, 1989
BRENNAN ROSS SECURITIES, INC.
May 15, 1989 - July 12, 1989
DOUGLAS STEWART INCORPORATED
October 7, 1988 - December 16, 1988
ALL-TECH DIRECT, INC.
December 13, 1985 - February 8, 1988
MF GLOBAL INC.
July 11, 1985 - September 17, 1985
CITIGROUP GLOBAL MARKETS INC.
April 16, 1984 - July 30, 1985
WESTPORT FINANCIAL GROUP, INC.
October 19, 1983 - May 3, 1984
CLAYTON BROKERAGE CO. OF ST. LOUIS, 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
ALEXANDER, WESCOTT, & CO., INC.
CRD#: 35935 / SEC#: , 8-46935
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE FINANCIAL COMMERCE NETWORK INC. | SHAREHOLDER/PARENT | |
| BACH, RICHARD HANS | CHAIRMAN AND CEO | 1011097 |
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.
