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George G. Hartberg

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CRD#: 1596510
GH

Professional summary

George Glen Hartberg was barred by the FINRA 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 3 firms, which includes ROCKWELL FINANCIAL INC., REMINGTON SECURITIES INC., BRIGHTON INDUSTRIES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

George Hartberg

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

December 8, 1988 - February 7, 1997

ROCKWELL FINANCIAL, INC.

BD
CRD#: 16350
Past

April 4, 1988 - September 30, 1988

REMINGTON SECURITIES, INC.

BD
CRD#: 16695
Past

January 2, 1987 - April 9, 1988

BRIGHTON INDUSTRIES, INC.

BD
CRD#: 16902

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: 4/16/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 22
Date: 11/13/1986
Direct Participation Programs Representative Examination
Principal/Supervisory Exam
RR
Series 39
Date: 2/13/1989
Direct Participation Programs Principal Examination

Current Firm

RF
ROCKWELL FINANCIAL, INC.
ROCKWELL FINANCIAL, INC. | SCHREIBER SECURITIES, INC.

CRD#: 16350 / SEC#: , 8-33800

BD
Terminated by SEC on 02/11/1997
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 03/18/1985
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

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

ROCKWELL FINANCIAL, INC.

CRD#: 16350

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