George F. Rescigno
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 Francis Rescigno was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1984. George had worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 6, Series 22 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 27, 2003 - January 20, 2022
CETERA INVESTMENT ADVISERS LLC
January 7, 2003 - January 20, 2022
CETERA FINANCIAL SPECIALISTS LLC
December 11, 2001 - January 10, 2003
KOVACK SECURITIES INC.
September 28, 1998 - December 6, 2001
EQUITY SERVICES, INC.
December 15, 1997 - September 24, 1998
PRINCIPAL SECURITIES, INC.
June 17, 1997 - August 12, 1997
PRINCIPAL SECURITIES, INC.
October 17, 1985 - June 24, 1997
FORESTERS FINANCIAL SERVICES, INC.
September 9, 1985 - September 30, 1985
A.G.P. / ALLIANCE GLOBAL PARTNERS
November 21, 1984 - June 24, 1985
A.G.P. / ALLIANCE GLOBAL PARTNERS
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
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
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
