George Spivak
Professional summary
George Spivak was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
George is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, George had worked at 5 firms, which includes GRUNTAL & CO. L.L.C., PRUDENTIAL EQUITY GROUP LLC, J. B. HANAUER & CO., THE STUART-JAMES COMPANY INCORPORATED, H.J. MEYERS & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 15, 1997 - December 19, 1997
GRUNTAL & CO., L.L.C.
March 14, 1995 - May 7, 1997
PRUDENTIAL EQUITY GROUP, LLC
April 1, 1987 - March 13, 1995
J. B. HANAUER & CO.
February 4, 1987 - February 13, 1987
THE STUART-JAMES COMPANY, INCORPORATED
February 4, 1987 - April 28, 1987
H.J. MEYERS & CO., 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
GRUNTAL & CO., L.L.C.
CRD#: 372 / SEC#: , 8-31022
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GRUNTAL FINANCIAL, L.L.C. | INTEREST HOLDER | |
| BRADLEY, RALPH HAMILTON JR | DIRECTOR, EXECUTIVE VICE PRESIDENT | 2802958 |
| COHEN, DONALD N | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL AND SECRETARY | |
| JOHNSON, ROSEMARY | DIRECTOR, EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER, CHIEF OPERATING OFFICER | 1515631 |
| RITTEREISER, ROBERT PETER | DIRECTOR, CHAIRMAN, CEO | 400305 |
Disclosures
| Regulatory Event | 34 |
| Arbitration | 81 |
| Bond | 2 |
Red Flags
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