George C. Shaffrey
Professional summary
George Clement Shaffrey III, who also goes by George Shaffrey Shaffrey III, is a registered financial professional currently at B. RILEY WEALTH MANAGEMENT located in Memphis, Tennessee and B. RILEY SECURITIES, INC. located in Memphis, Tennessee.
George is registered as a RR (Registered Representative) and started their career in finance in 1983. George has worked at 4 firms and has passed the Series 63, Series 79TO, Series 57TO, SIE, Series 55, Series 7, Series 3 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view George Clement Shaffrey III's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 17, 2022 - Present
B. RILEY WEALTH MANAGEMENT
Office #1: 6000 Poplar Avenue Suite 201, Memphis, TN 38119January 30, 2023 - Present
B. RILEY SECURITIES, INC.
Office #1: 6000 Poplar Avenue Suite 201, Memphis, TN 38119October 29, 2018 - June 3, 2022
B. RILEY SECURITIES, INC.
August 5, 2013 - June 3, 2022
B. RILEY WEALTH MANAGEMENT
February 13, 2013 - July 5, 2013
RAYMOND JAMES & ASSOCIATES, INC.
February 17, 1992 - February 13, 2013
MORGAN KEEGAN & COMPANY, LLC
December 21, 1983 - April 10, 1989
MORGAN KEEGAN & COMPANY, 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
(10/17/2022)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 1/12/2000
Limited Representative-Equity Trader ExamFINRA
Nasdaq Stock Market
Current Firm
B. RILEY SECURITIES, INC.
CRD#: 25027 / SEC#: , 8-41426
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY SECURITIES HOLDINGS, INC. | DIRECT PARENT | |
| BAKER, JAMES RICHARD | CO-CHIEF EXECUTIVE OFFICER | 5834046 |
| INNIS, KATHLEEN GIBBONS | CHIEF COMPLIANCE OFFICER | 2112837 |
| MCCOY, MICHAEL RICHARD | CHIEF FINANCIAL OFFICER | 4743031 |
| MOORE, ANDREW THOMAS | CO-CHIEF EXECUTIVE OFFICER | 4574997 |
| SCHUTT, JANELLE REGINA | CONTROLLER | 2853858 |
Disclosures
| Regulatory Event | 12 |
| Civil Event | 1 |
| Arbitration | 1 |
Red Flags
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Company Information
B. RILEY SECURITIES, INC.
CRD#: 25027Memphis, TN 38119TRUST BUT VERIFY
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