George S. Conwill

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CRD#: 1387805

Professional summary

George Stephen Conwill was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

George is a previously registered financial advisor and started their career in finance in 1985. Prior to being barred, George had worked at 9 firms, which includes APS FINANCIAL CORPORATION, NORTHVIEW ASSET MANAGEMENT LLC, MEDTECH INVESTMENTS INC., MERIDIAN SECURITIES INC., MARCUS STOWELL & BEYE INC., MARCUS STOWELL & BEYE GOVERNMENT SECURITIES INC., MABON NUGENT & CO., REFCO SECURITIES LLC, UNITED CAPITAL CORPORATION.

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

March 12, 2010 - August 3, 2010

APS FINANCIAL CORPORATION

CRD#: 10033

AUSTIN, TX

Past

November 9, 2001 - December 9, 2008

NORTHVIEW ASSET MANAGEMENT, LLC

RIA

CRD#: 109854

AUSTIN, TX

Past

February 8, 2001 - January 31, 2003

MEDTECH INVESTMENTS, INC.

CRD#: 21658

AUSTIN, TX

Past

June 8, 1995 - December 4, 2008

APS FINANCIAL CORPORATION

CRD#: 10033

AUSTIN, TX

Past

August 18, 1994 - May 12, 1995

MERIDIAN SECURITIES, INC.

CRD#: 16468

Past

January 3, 1994 - August 18, 1994

MARCUS, STOWELL & BEYE, INC.

CRD#: 7038

FORT LAUDERDALE, FL

Past

January 3, 1994 - August 20, 1994

MARCUS, STOWELL & BEYE GOVERNMENT SECURITIES, INC.

CRD#: 19184

FORT LAUDERDALE, FL

Past

August 1, 1990 - January 7, 1994

APS FINANCIAL CORPORATION

CRD#: 10033

AUSTIN, TX

Past

August 16, 1989 - June 20, 1990

MABON, NUGENT & CO.

CRD#: 2617

Past

March 11, 1988 - June 27, 1989

REFCO SECURITIES, LLC

CRD#: 14094

Past

August 20, 1985 - January 4, 1988

UNITED CAPITAL CORPORATION

CRD#: 8268

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/25/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/27/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 87

Date: 8/1/2005

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 55

Date: 12/17/1999

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 3

Date: 10/28/1986

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 8/17/1985

General Securities Representative Examination

Principal/Supervisory Exam

Series 27

Date: 8/24/2000

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 53

Date: 9/4/1992

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 7/31/1992

General Securities Principal Examination

Current Firm

APS FINANCIAL CORPORATION

APS FINANCIAL CORPORATION | HOLT, OLINGER & CO., INC. | APS SECURITIES CORPORATION

CRD#: 10033 / SEC#: , 8-26088

Terminated by SEC on 12/11/2010

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Contact information

Main Address

Mailing Address

Phone number

Established

Colorado since 04/01/1981

Firm type

Corporation

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
APS INVESTMENT SERVICES	OWNER/SHAREHOLDER
MARC ZIMMERMANN	SECRETARY, TREASURER, DIRECTOR
TIMOTHY LAFREY	DIRECTOR

Disclosures

Regulatory Event	13
Civil Event	1
Arbitration	5

Red Flags

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Firm Stability Insights

George S. Conwill

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NORTHVIEW ASSET MANAGEMENT, LLC

MEDTECH INVESTMENTS, INC.

APS FINANCIAL CORPORATION

MERIDIAN SECURITIES, INC.

MARCUS, STOWELL & BEYE, INC.

MARCUS, STOWELL & BEYE GOVERNMENT SECURITIES, INC.

APS FINANCIAL CORPORATION

MABON, NUGENT & CO.

REFCO SECURITIES, LLC

UNITED CAPITAL CORPORATION

State Registrations and Notice Filings

Exams

Series 65

Date: 9/25/1998

Series 63

Date: 8/27/1985

Series 87

Date: 8/1/2005

Series 55

Date: 12/17/1999

Series 3

Date: 10/28/1986

Series 7

Date: 8/17/1985

Series 27

Date: 8/24/2000

Series 53

Date: 9/4/1992

Series 24

Date: 7/31/1992

Current Firm

APS FINANCIAL CORPORATION

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

APS FINANCIAL CORPORATION

TRUST BUT VERIFY

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