KG
Keith A. George
LIFEMARK SECURITIES
Naples, FL
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CRD#: 1970413
KG
Professional summary
Keith Alan George, who also goes by Keith A George, is a registered financial advisor currently at LIFEMARK SECURITIES CORP. located in Naples, Florida.
Keith is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Keith has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Keith A George
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.
1. INDEPENDENT INSURANCE AGENT / INVESTMENT RELATED / 9830 GIAVENO CIR #1614, NAPLES, FL 34113 /START 11/2005 / 40 HOURS/MONTH / 40 HOURS/MONTH DURING SECURITIES TRADING HOURS / SALES AND SERVICE OF LIFE, DISABILITY, LTC INSURANCE AND FIXED ANNUITIES. 2. UNIVERSITY FUNDING PROFESSIONALS, LLC / NOT INVESTMENT RELATED / 9830 GIAVENO CIR #1614, NAPLES, FL 34113 / START 9/2016 / MAY MAKE REFERRALS TO UNIVERSITY FUNDING PROFESSIONALS FOR ACT EXAM PREP AND CAREER CONSULTING.
CRS (Client Relationship Summary) - RIA
Click below to view Keith Alan George's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Keith Alan George's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
November 6, 2018 - Present
LIFEMARK SECURITIES CORP.
RIA
BD
CRD#: 16204
Naples, FL
Current
November 6, 2018 - Present
LIFEMARK SECURITIES CORP.
RIA
BD
CRD#: 16204
Naples, FL
Past
September 18, 2015 - November 8, 2018
FORESTERS EQUITY SERVICES, INC.
RIA
CRD#: 18464
GOLDEN VALLEY, MN
Past
September 18, 2015 - November 8, 2018
FORESTERS EQUITY SERVICES, INC.
BD
CRD#: 18464
SAN DIEGO, CA
Past
January 9, 2014 - September 17, 2015
OSAIC SERVICES, INC.
RIA
CRD#: 133763
BLOOMINGTON, MN
Past
October 31, 2008 - September 17, 2015
OSAIC SERVICES, INC.
BD
CRD#: 133763
BLOOMINGTON, MN
Past
March 29, 2004 - October 31, 2008
AMERICAN GENERAL SECURITIES INCORPORATED
BD
CRD#: 13626
BLOOMINGTON, MN
Past
November 28, 2001 - February 25, 2004
SII INVESTMENTS, INC.
BD
CRD#: 2225
APPLETON, WI
Past
August 4, 1989 - December 4, 2001
AMERICAN GENERAL EQUITY SERVICES CORPORATION
BD
CRD#: 5435
HOUSTON, TX
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
LS
LIFEMARK SECURITIES CORP.
LIFEMARK SECURITIES | PROCORP SECURITIES INCORPORATED | LIFEMARK SECURITIES CORP.
CRD#: 16204 / SEC#: 801-68438, 8-33478
RIA
Registered Investment Advisory firm - SEC (10/17/2007 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(1/4/2022)
RR
California(1/4/2022)
RR
Florida(1/13/2022)
IAR
Florida(3/28/2022)
RR
Michigan(1/4/2023)
RR
Minnesota(11/7/2018)
RR
Tennessee(1/4/2022)
RR
Wisconsin(11/6/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LS
LIFEMARK SECURITIES CORP.
LIFEMARK SECURITIES | PROCORP SECURITIES INCORPORATED | LIFEMARK SECURITIES CORP.
CRD#: 16204 / SEC#: 801-68438, 8-33478
RIA
Registered Investment Advisory firm - SEC (10/17/2007 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
400 West Metro Park, Rochester, NY 14623
Mailing Address
400 West Metro Park, Rochester, NY 14623
Phone number
(585) 424-5672
Established
New York since 04/04/1983
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
88
SEC notice filing (46 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KALINOWSKI, ANDREW JOSEPH | VP / BOARD MEMBER/SECRETARY | 263409 |
| MICCICHE, VINCENT JR | TREASURER/ FINOP/PFO/POO | 702149 |
| PRISCO, JAMES JOSEPH | CHIEF EXECUTIVE OFFICER/ CHIEF COMPLIANCE OFFICER | 2653402 |
| PRISCO, JAMES JOSEPH | PRESIDENT / BOARD MEMBER | 2653402 |
| GEORGIEV, ALEXANDRE JR. | CCO OF THE RIA / DIRECTOR OF OPERATIONS | 5307830 |
Regulatory assets under management
| Total Number of Accounts | 2,021 |
| AUM (Assets Under Management) | $ 461,475,636 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 3 |
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.
