George P. Macneil
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 Patrick Macneil, who also goes by George Patrick Macneil, was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1997. George had worked at 2 firms and has passed the Series 63, Series 6, Series 51 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
November 6, 2003 - February 21, 2012
ASCENSUS BROKER DEALER SERVICES, LLC
November 25, 1997 - December 31, 2001
AMERICAN GENERAL FUNDS DISTRIBUTORS, 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
Current Firm
ASCENSUS BROKER DEALER SERVICES, LLC
CRD#: 36478 / SEC#: , 8-47312
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ASCENSUS, LLC | 100% STOCKHOLDER OF ASCENSUS BROKER DEALER SERVICES, LLC | |
| DUNN, MICHAEL SEAN | SENIOR VICE PRESIDENT | 3045371 |
| FOLMER, MICHAEL ROBERT | TREASURER AND VICE PRESIDENT, TAX AND FINANCE | 5655451 |
| GEARIN, JAMES M | PRESIDENT | 1405150 |
| GINGOLASKI, DENISE MAKSIMOW | FINANCIAL AND OPERATIONS PRINCIPAL | 6218228 |
| GINGOLASKI, DENISE MAKSIMOW | PRINCIPAL FINANCIAL OFFICER | 6218228 |
| GINGOLASKI, DENISE MAKSIMOW | PRINCIPAL OPERATIONS OFFICER | 6218228 |
| KAPLAN, ROBERT BARRY | SECRETARY | 1286735 |
| KAPLAN, ROBERT BARRY | CHIEF COMPLIANCE OFFICER | 1286735 |
| SHANNON, MICHAEL DOUGLAS | SENIOR VICE PRESIDENT | 1314743 |
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.
