George I. Spindell
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 Ira Spindell, who also goes by George I Spindell, was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1985. George had worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 11, 2019 - November 23, 2022
MISSIONSQUARE RETIREMENT
March 20, 2007 - November 23, 2022
MISSIONSQUARE INVESTMENT SERVICES
March 21, 1997 - August 10, 2005
TEACHERS PERSONAL INVESTORS SERVICES, INC.
March 17, 1988 - December 31, 1995
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
June 10, 1985 - January 12, 1988
MORGAN STANLEY DW INC.
March 7, 1985 - June 13, 1985
BROOKS WEINGER ROBBINS & LEEDS INC.
Primary Firm SEC Registration
MISSIONSQUARE RETIREMENT
CRD#: 108783 / SEC#: 801-18273
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
MISSIONSQUARE RETIREMENT
CRD#: 108783 / SEC#: 801-18273
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 58,580 |
| AUM (Assets Under Management) | $ 5,959,398,729 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/28/2025 | ||
| 01/27/2025 | ||
| 10/27/2023 | ||
| 01/27/2023 |
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.
