George R. Calvo
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 Robert Calvo, who also goes by Bob Calvo, was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1985. George had worked at 9 firms and has passed the Series 63, Series 7, Series 8 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 6, 2008 - February 27, 2013
INVEST FINANCIAL CORPORATION
February 10, 2006 - December 11, 2007
E*TRADE SECURITIES LLC
February 23, 2004 - May 8, 2006
BROWNCO, LLC
September 29, 2000 - November 1, 2002
BROWNCO, LLC
May 18, 1999 - September 15, 2000
TD AMERITRADE, INC.
March 26, 1998 - March 3, 1999
RETIREMENT FOUNDATIONS, INC.
July 19, 1995 - September 17, 1997
AMERIPRISE ADVISOR SERVICES, INC.
January 31, 1995 - May 17, 1995
J. B. HANAUER & CO.
August 25, 1994 - July 11, 1995
MERIDIAN, DUNHILL & CO., INC.
September 22, 1987 - September 15, 1994
AMERIPRISE ADVISOR SERVICES, INC.
November 19, 1985 - August 3, 1987
GOLDMAN SACHS & CO. 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
Series 8
Date: 7/12/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
INVEST FINANCIAL CORPORATION
CRD#: 12984 / SEC#: 801-56411, 8-27691
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC. | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VICE PRESIDENT | 4298287 |
| COLLINS, MAURA KATHRYN | SENIOR VICE PRESIDENT & CHIEF FINANCIAL OFFICER - NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT, CEO, DIRECTOR; NPH PRESIDENT & CEO | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL & SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP, FINOP, CONTROLLER | 4800775 |
| MCCALLOP, PATRICIA ANN | NPH AND NPC SVP & CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP, OPERATIONS; INTERIM CHIEF OPERATIONS OFFICER-INVEST | 1955960 |
| WHITED, SANDRA RENEE | CCO-INVEST; 1ST VICE PRESIDENT-COMPLIANCE | 2444134 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 20 |
| Bond | 2 |
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.
