George J. Carlyle
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 Jeffrey Carlyle, who also goes by Jeff Carlyle, was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1983. George had worked at 8 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 14, 2015 - June 13, 2018
SECURITIES AMERICA, INC.
October 21, 2011 - October 2, 2015
IFS SECURITIES
November 4, 2009 - October 17, 2011
TRANSAMERICA FINANCIAL ADVISORS, LLC
July 1, 1991 - November 9, 2009
TRANSAMERICA FINANCIAL ADVISORS, INC.
August 23, 1990 - May 17, 1991
TRANSAMERICA SECURITIES SALES CORPORATION
August 23, 1990 - May 17, 1991
TRANSAMERICA FINANCIAL ADVISORS, INC.
February 19, 1986 - August 6, 1990
FORESTERS FINANCIAL SERVICES, INC.
March 2, 1984 - December 23, 1985
MARQUETTE FINANCIAL GROUP, INC.
August 23, 1983 - February 23, 1984
INTEGRATED RESOURCES EQUITY CORPORATION
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
SECURITIES AMERICA, INC.
CRD#: 10205 / SEC#: , 8-26602
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORP. | SHAREHOLDER | |
| CHAFFEE, HAROLD GERARD | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2905661 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| FORD, ERINN JUNE | INTERIM PRESIDENT, DIRECTOR AND CEO | 2176816 |
| GERB, JASON HARRIS | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HULETT, KIRK JESSE | EXECUTIVE VICE PRESIDENT, STRATEGY & PRACTICE MANAGEMENT, DIRECTOR | 2528380 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 58 |
| Arbitration | 27 |
| Bond | 5 |
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.
