George E. Firpo
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 Firpo was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1986. George had worked at 4 firms and has passed the Series 63, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 9, 2001 - March 26, 2002
ROUND HILL SECURITIES, INC.
January 31, 1994 - March 21, 1995
ROUND HILL SECURITIES, INC.
June 8, 1992 - December 17, 1993
VANGUARD CAPITAL
August 27, 1986 - October 27, 1987
LEHMAN BROTHERS INC.
April 23, 1986 - June 9, 1986
PRUDENTIAL EQUITY GROUP, LLC
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
ROUND HILL SECURITIES, INC.
CRD#: 35223 / SEC#: , 8-46591
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROUND HILL HOLDINGS, INC. | OWNER | |
| ANTONIADES, ADAM NICHOLAS | PRESIDENT/CEO/DIRECTOR | 2261744 |
| DORN, DIANA GAYLE | SVP, CROP, CHIEF COMPLIANCE OFFICER | 1088981 |
| EMFINGER, TERRY LEWIS | EXECUTIVE VICE PRESIDENT/SECRETARY/TREASURER/DIRECTOR | 2206745 |
| LENHARDT, ARTHUR WILLIAM | SENIOR VICE PRESIDENT, SROP | 306553 |
| SBOTO, THOMAS JOSEPH | EXECUTIVE VICE PRESIDENT | 1497190 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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