George E. Andresen

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CRD#: 1318141

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 Edward Andresen was a registered financial professional .

George is a previously registered financial professional and started their career in finance in 1985. George had worked at 5 firms and has passed the Series 65, Series 63, Series 7 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 26, 2009 - April 1, 2019

ROUNDVIEW CAPITAL, LLC

RIA

CRD#: 148083

PRINCETON, NJ

Past

July 17, 2002 - January 3, 2012

ALTER ASSET MANAGEMENT INC

RIA

CRD#: 107585

PRINCETON, NJ

Past

February 29, 1992 - March 6, 1998

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Past

February 28, 1992 - March 6, 1998

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

April 30, 1990 - June 6, 1991

SECURITIES SETTLEMENT CORPORATION

CRD#: 7129

ISLIP, NY

Past

April 24, 1990 - July 11, 1991

JJC SECURITIES CO., INC.

CRD#: 3144

Past

December 17, 1985 - January 10, 1990

SECURITIES SETTLEMENT CORPORATION

CRD#: 7129

ISLIP, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ROUNDVIEW CAPITAL, LLC

CRD#: 148083 / SEC#: 801-69519

RIA

Registered Investment Advisory firm - (9/2/2008 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/20/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/19/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/14/1985

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 11/19/1990

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

ROUNDVIEW CAPITAL, LLC

CRD#: 148083 / SEC#: 801-69519

RIA

Registered Investment Advisory firm - (9/2/2008 Approved)

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Contact information

Main Address

182 Nassau Street Suite 201, Princeton, NJ 08542-7000

Mailing Address

Phone number

(609) 688-9500

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (18 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RVC BROCHURE (3/20/2025)

Regulatory assets under management

Total Number of Accounts	1,784
AUM (Assets Under Management)	$ 1,875,506,746

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.

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Advisor Monitoring

Firm Stability Insights

George E. Andresen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ALTER ASSET MANAGEMENT INC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

SECURITIES SETTLEMENT CORPORATION

JJC SECURITIES CO., INC.

SECURITIES SETTLEMENT CORPORATION

Primary Firm SEC Registration

ROUNDVIEW CAPITAL, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/20/2002

Series 63

Date: 3/19/1992

Series 7

Date: 12/14/1985

Series 8

Date: 11/19/1990

Current Firm

ROUNDVIEW CAPITAL, LLC

Contact information

SEC notice filing (18 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ROUNDVIEW CAPITAL, LLC

TRUST BUT VERIFY

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