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GS

George Robert Speckman Jr

CRD# 1282470·Registered 1985 - 1993
Previously Registered: Being a previously registered professional could mean that George 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.

Professional Summary

George Robert Speckman JR, who also goes by George Robert Spcekman Jr, was a registered financial advisor. George was a previously registered financial professional and started their career in finance 1985 - 1993. George had worked at 5 firms and has passed the Series 63 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

George Robert Spcekman Jr

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

41 years in the financial services industry

Current & Past Employments

KLEIN, MAUS & SHIRE INC.·CRD# 20527
BD
October 18, 1991 - November 24, 1993
PW SECURITIES, INC.·CRD# 6775
BD
July 6, 1989 - October 31, 1989
RONEY & CO. L.L.C.·CRD# 900
BD
December 21, 1988 - April 27, 1989
FIRSTMARK SECURITIES, INC.·CRD# 13184
BD
November 27, 1985 - February 8, 1986
FIRSTMARK INVESTOR SERVICES, INC.·CRD# 13857
BD
November 25, 1985 - October 31, 1988

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Current Firm

KM
KLEIN, MAUS & SHIRE INC.

KHAN, EDWARDS & COMPANY | KLEIN, MAUS & SHIRE INC.

CRD#: 20527 / SEC#: 8-38302
BD
Cancelled by SEC on 01/31/2007

Contact Information

Established

Indiana since 08/16/1994

Firm Type

Corporation

Fiscal Year End

December

Documents

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Oct 1985About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Nov 1985About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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GS
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