Keith A. George
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.
Keith Allen George, who also goes by Keith George, was a registered financial professional .
Keith is a previously registered financial professional and started their career in finance in 1986. Keith had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 22, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 24, 2018 - March 26, 2019
CAPITAL SYNERGY PARTNERS
July 5, 2018 - March 26, 2019
CAPITAL SYNERGY PARTNERS
March 20, 2014 - July 18, 2016
SCOTTRADE INVESTMENT MANAGEMENT
January 2, 2014 - July 18, 2016
SCOTTRADE, INC.
January 3, 2011 - December 13, 2013
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - December 13, 2013
WELLS FARGO CLEARING SERVICES, LLC
February 6, 2006 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
February 2, 2006 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
July 8, 2005 - December 20, 2005
UBS FINANCIAL SERVICES INC.
July 1, 2005 - December 20, 2005
UBS FINANCIAL SERVICES INC.
April 15, 2003 - December 19, 2003
VERAVEST INVESTMENTS, INC.
December 20, 1995 - December 31, 2002
CHARLES SCHWAB & CO., INC.
May 5, 1994 - December 1, 1995
PRUDENTIAL EQUITY GROUP, LLC
October 18, 1989 - May 9, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 12, 1987 - July 21, 1988
LEHMAN BROTHERS INC.
February 18, 1986 - August 15, 1987
ROTAN MOSLE INC.
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
Series 8
Date: 3/18/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CAPITAL SYNERGY PARTNERS
CRD#: 148733 / SEC#: 801-117828, 8-68060
Contact information
FINRA licenses (50 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 386 |
| AUM (Assets Under Management) | $ 89,105,726 |
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.
