Geoffrey G. Maclay
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.
Geoffrey Graeme Maclay JR, who also goes by Rip Maclay, was a registered financial professional .
Geoffrey is a previously registered financial professional and started their career in finance in 1988. Geoffrey had worked at 6 firms and has passed the Series 65, Series 63, Series 7, Series 27, Series 53 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
February 2, 2017 - March 20, 2017
CEDARWINDS INVESTMENT MANAGEMENT, LLC
August 29, 2016 - December 31, 2017
FORUM FINANCIAL MANAGEMENT, LP
June 15, 2004 - December 31, 2016
CEDARWINDS INVESTMENT MANAGEMENT, LLC
March 31, 2003 - October 28, 2003
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
March 4, 2002 - March 31, 2003
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.
March 4, 1996 - April 5, 2000
B. C. ZIEGLER AND COMPANY
May 25, 1988 - January 5, 1995
FIRSTAR INVESTMENT SERVICES,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
CEDARWINDS INVESTMENT MANAGEMENT, LLC
CRD#: 131501 / SEC#: 801-67689
Contact information
Red Flags
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