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George E. Prieston

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CRD#: 1535946
GP

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 Evans Prieston, who also goes by George Evans Prieston, George Prieston, was a registered financial professional .

George is a previously registered financial professional and started their career in finance in 1987. George had worked at 8 firms and has passed the Series 63, Series 56, Series 55, Series 7, Series 3 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

George Evans Prieston | George Prieston

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

February 27, 2012 - December 11, 2012

WTS PROPRIETARY TRADING GROUP LLC

BD
CRD#: 148117
NEW YORK, NY
Past

January 24, 2007 - May 21, 2007

TAFFERER TRADING, LLC

BD
CRD#: 36816
NEW YORK, NY
Past

September 29, 2005 - January 5, 2006

TAFFERER TRADING, LLC

BD
CRD#: 36816
NEW YORK, NY
Past

June 7, 1994 - November 17, 1994

PREFERREDTRADE, INC.

BD
CRD#: 10993
SAN FRANCISCO, CA
Past

September 2, 1993 - October 22, 2003

NAVILLUS SECURITIES, INC.

BD
CRD#: 31230
WEST CONSHOHOCKEN, PA
Past

October 9, 1990 - October 22, 1991

ALAN HOEFER & COMPANY

BD
CRD#: 23053
Past

June 29, 1989 - October 1, 1990

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

July 5, 1988 - May 1, 1989

RJO SECURITIES, INC.

BD
CRD#: 13586
CHICAGO, IL
Past

August 18, 1987 - April 26, 1988

BEARE BROTHERS & CO. INC.

BD
CRD#: 596

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
RR
Series 63
Date: 7/20/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 56
Date: 2/25/2012
Proprietary Trader Qualification Examination
General Industry/Product Exam
RR
Series 55
Date: 11/1/1999
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 8/15/1987
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 7/8/1986
National Commodity Futures Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/3/1995
General Securities Principal Examination

Current Firm

WP
WTS PROPRIETARY TRADING GROUP LLC
WTS PROPRIETARY TRADING GROUP LLC

CRD#: 148117 / SEC#: , 8-67986

BD
Terminated by SEC on 03/06/2015
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 07/09/2008
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
WTS PTG HOLDINGS, LLCOWNER
CLARK, CHESTER EDMONDCEO2486219
DISCENZA, PETER VINCENT JRCHIEF COMPLIANCE OFFICER4386342
JONES, WILLIAM RUSSELLOPERATIONS MANAGER2948251
LI, XIAOYANFINOP4465893

Disclosures

Regulatory Event6

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.

Company Information

WTS PROPRIETARY TRADING GROUP LLC

CRD#: 148117

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