George S. Harvey
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 Samuel Harvey 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, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 9, 2006 - December 18, 2020
GORDON ASSET MANAGEMENT, LLC
July 6, 2006 - December 31, 2008
CW SECURITIES, LLC
January 25, 2001 - July 7, 2006
CAPITAL INVESTMENT GROUP, INC.
October 1, 2000 - January 18, 2001
WELLS FARGO CLEARING SERVICES, LLC
March 16, 1999 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
February 9, 1998 - December 31, 1998
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
March 7, 1997 - December 31, 1997
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
February 10, 1995 - October 5, 1995
OSAIC FS, INC.
January 20, 1992 - December 7, 1994
ROBERT THOMAS SECURITIES, INC
June 18, 1987 - October 15, 1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
June 18, 1987 - May 18, 1992
MONY SECURITIES CORPORATION
April 7, 1987 - May 18, 1987
1717 CAPITAL MANAGEMENT COMPANY
February 1, 1985 - April 20, 1987
LOWRY FINANCIAL SERVICES CORPORATION
August 22, 1984 - March 14, 1985
1717 CAPITAL MANAGEMENT COMPANY
September 14, 1983 - August 6, 1984
HORNOR, TOWNSEND & KENT, LLC
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
GORDON ASSET MANAGEMENT, LLC
CRD#: 118471 / SEC#: 801-61670
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 458 |
| AUM (Assets Under Management) | $ 199,391,998 |
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.
