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 Mentor, Ohio and B. RILEY SECURITIES, INC. located in Arlington, Virginia.
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.
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
January 30, 2023 - Present
B. RILEY SECURITIES, INC.
Office #1: 1655 Fort Myer Drive Suite 1200, Arlington, VA 22209October 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
(2/23/2026)
(10/17/2022)
(3/20/2026)
Exams
What does exam status mean?
Series 79TO
Passed: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 57TO
Passed: 1/2/2023
Securities 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 | |
| MCNICOLL, PATRICE | CO-PRESIDENT | 3199758 |
| MOORE, ANDREW THOMAS | CHIEF EXECUTIVE OFFICER | 4574997 |
| NARDINI, JOSEPH ROBERT | CO-PRESIDENT | 2387386 |
| PIGOTT, FRANK | GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER | 8052475 |
| RILEY, BRYANT RICHARD | EXECUTIVE CHAIRMAN | 1702453 |
| SCHUTT, JANELLE REGINA | CONTROLLER | 2853858 |
| SWAIN, MARY ANN NELL | CHIEF FINANCIAL OFFICER | 6484916 |
Disclosures
| Regulatory Event | 12 |
| Civil Event | 1 |
| Arbitration | 1 |
Red Flags
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