George C. Roberts
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 Charles Roberts, who also goes by George Charles Leck, George Charles Roberts, was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1986. George had worked at 17 firms and has passed the Series 63, Series 7TO, 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
February 22, 2023 - January 22, 2025
R.W.PRESSPRICH & CO.
April 7, 2017 - December 7, 2021
FIFTH THIRD SECURITIES, INC.
August 2, 2010 - May 19, 2015
BNY MELLON CAPITAL MARKETS, LLC
March 25, 2010 - June 28, 2010
HAPOALIM SECURITIES USA, INC.
November 17, 2006 - March 26, 2010
OPPENHEIMER & CO. INC.
March 8, 2000 - November 16, 2005
RBC CAPITAL MARKETS, LLC
June 19, 1998 - December 6, 1999
LEGG MASON WOOD WALKER, INCORPORATED
August 7, 1997 - March 31, 1998
NIKKO ALTERNATIVE ASSET MANAGEMENT, INC.
April 30, 1997 - July 15, 1997
MILLER TABAK HIRSCH & CO.
September 19, 1996 - December 31, 1996
RODMAN & RENSHAW INC.
October 19, 1995 - August 16, 1996
FINANCIAL SQUARE PARTNERS
October 26, 1992 - September 19, 1995
INTESA SANPAOLO IMI SECURITIES CORP.
October 8, 1991 - August 26, 1992
W.J. NOLAN & COMPANY, INC.
October 25, 1990 - May 6, 1991
ROBERT THOMAS SECURITIES, INC
June 15, 1988 - January 9, 1990
BAIRD, PATRICK & CO., INC.
July 7, 1987 - July 8, 1988
NICHOLAS, LAWRENCE & CO. INC.
May 21, 1986 - December 22, 1986
DONALD & CO. SECURITIES 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 7TO
Date: 7/18/2022
General Securities Representative ExaminationCurrent Firm
R.W.PRESSPRICH & CO.
CRD#: 26460 / SEC#: , 8-42547
Contact information
FINRA licenses (25 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAPPA, EDWARD JOSEPH | CHAIRMAN (04/2009) AND CHIEF EXECUTIVE OFFICER (04/1990) | 371101 |
| CALVO, JOSEPH ANTHONY JR | DIRECTOR (01/2006), SENIOR MANAGING DIRECTOR (10/2018), PRESIDENT (04/2009) AND CHIEF OPERATING OFFICER (04/2009) | 1391692 |
| CARROLL, JOHN EDWARD III | DIRECTOR (06/2009), SENIOR MANAGING DIRECTOR (10/2018) AND CHIEF ADMINISTRATIVE OFFICER (10/2021) | 2134481 |
| CAUMARTIN, RENAUD PHILIPPE | SENIOR MANAGING DIRECTOR | 3266876 |
| MILSTEIN, LAWRENCE JOSHUA | DIRECTOR (06/2009) AND SENIOR MANAGING DIRECTOR (10/2018) | 2279858 |
| BURNS, TIMOTHY LEE | SENIOR MANAGING DIRECTOR (10/2018), DIRECTOR, AND, CCO (07/2022) | 36429 |
| CHEN, WAYNE H | FINOP | 4779449 |
Disclosures
| Regulatory Event | 4 |
Red Flags
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