George J. Peacock
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 Joseph Peacock was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1987. George had worked at 10 firms and has passed the Series 66, Series 65, Series 63, Series 31, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 16, 2014 - February 23, 2015
COMPENDIUM FINANCE LLC
October 6, 2009 - December 15, 2017
EUCLID INVESTMENT ADVISORY, LLC
February 27, 2008 - September 11, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 8, 2005 - March 3, 2008
UST SECURITIES CORP.
July 20, 2004 - September 9, 2005
FBR INVESTMENT MANAGEMENT, INC.
March 30, 2004 - April 1, 2005
B. RILEY SECURITIES, INC.
February 7, 2001 - December 17, 2003
M HOLDINGS SECURITIES, INC.
March 19, 1998 - March 1, 1999
MUTUAL SERVICE CORPORATION
January 26, 1988 - March 19, 1998
WS GRIFFITH SECURITIES, INC.
March 27, 1987 - February 4, 1988
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
COMPENDIUM FINANCE LLC
CRD#: 171618 / SEC#: 801-107719
Contact information
Red Flags
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