George W. Schultz
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 Warren Schultz JR, who also goes by Barney Schultz, George Warren Jr Schultz, was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1991. George had worked at 1 firm and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 3, 2012 - October 19, 2016
BCG SECURITIES, INC.
January 1, 1991 - October 19, 2016
BCG SECURITIES, INC.
Primary Firm SEC Registration
BCG SECURITIES, INC.
CRD#: 70 / SEC#: 801-56943, 8-12680
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
BCG SECURITIES, INC.
CRD#: 70 / SEC#: 801-56943, 8-12680
Contact information
SEC notice filing (44 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 1,900 |
| AUM (Assets Under Management) | $ 740,027,520 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
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.
