George L. Spalenka
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 Lawrence Spalenka, who also goes by George Lawrence Spalenka Jr, was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1984. George had worked at 17 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 15, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 18, 2019 - February 15, 2019
SECURIAN FINANCIAL SERVICES, INC.
December 18, 2018 - February 15, 2019
SECURIAN FINANCIAL SERVICES, INC.
March 11, 2016 - November 20, 2018
HIGHLINE INVESTMENT PARTNERS, INC.
April 16, 2012 - December 31, 2014
HIGHLINE INVESTMENT PARTNERS, INC.
December 24, 2011 - February 13, 2012
NYLIFE SECURITIES LLC
August 14, 2008 - December 31, 2009
AVANTAX ADVISORY SERVICES
March 1, 2007 - December 31, 2009
AVANTAX INVESTMENT SERVICES, INC.
March 15, 2006 - August 2, 2006
UNIFIED FINANCIAL SECURITIES, LLC
October 20, 2004 - February 9, 2006
QUEST CAPITAL STRATEGIES, INC.
August 8, 2002 - February 6, 2003
SENTRA SECURITIES CORPORATION
August 24, 2001 - December 3, 2001
AMERICAN INVESTMENT SERVICES, INC.
March 31, 1999 - August 20, 2001
PIM FINANCIAL SERVICES, INC.
August 11, 1998 - April 9, 1999
QUEST CAPITAL STRATEGIES, INC.
April 17, 1996 - January 9, 1997
DEL MAR FINANCIAL SERVICES, INCORPORATED
July 27, 1995 - August 10, 1995
SCOTTRADE, INC.
June 30, 1989 - September 15, 1994
QUICK & REILLY, INC.
May 16, 1989 - July 13, 1989
BURNETT, GREY & CO., INC.
January 24, 1989 - May 31, 1989
FIRST AMERICA EQUITIES CORP.
April 18, 1984 - January 24, 1989
INTERFIRST CAPITAL CORPORATION
February 24, 1984 - March 30, 1984
CINCOTTA & CO.
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
Series 7TO
Date: 12/18/2018
General Securities Representative ExaminationSeries 15
Date: 6/5/1984
Foreign Currency Options ExaminationCurrent Firm
SECURIAN FINANCIAL SERVICES, INC.
CRD#: 15296 / SEC#: 801-45152, 8-31955
Contact information
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURIAN FINANCIAL GROUP, INC. | 100% SHAREHOLDER | |
| CARPENTER, KIMBERLY KAY | MEMBER OF BOARD OF DIRECTORS, CHIEF EXECUTIVE OFFICER & PRESIDENT, CHIEF COMPLIANCE OFFICER, ANTI-MONEY LAUNDERING COMPLIANCE OF | 4266541 |
| FERGUSON, KRISTIN MARY | MEMBER OF BOARD OF DIRECTORS, VICE PRESIDENT, CHIEF FINANCIAL OFFICER, TREASURER, FINOP, & PRINCIPAL OPERATIONS OFFICER | 6895121 |
| MONTZ, RENEE DENISE | MEMBER OF BOARD OF DIRECTORS | 6014640 |
| OBRIEN, KERI SUE | SECRETARY | 6821352 |
Regulatory assets under management
| Total Number of Accounts | 76,075 |
| AUM (Assets Under Management) | $ 20,684,796,225 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 3 |
| Bond | 10 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/30/2023 |
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.
