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GS

George N. Spaniak

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CRD#: 2171494
GS

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 Nicholas Spaniak, who also goes by George Spaniak, was a registered financial professional .

George is a previously registered financial professional and started their career in finance in 1994. George had worked at 6 firms and has passed the Series 7, Series 3, Series 24 and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

George Spaniak

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

August 25, 2011 - December 3, 2012

PRIME INTERNATIONAL SECURITIES ARBIRAGE, LLC

BD
CRD#: 155784
CHICAGO, IL
Past

June 15, 2010 - August 10, 2011

ROSENTHAL GLOBAL SECURITIES LLC

BD
CRD#: 19721
CHICAGO, IL
Past

May 1, 2008 - May 5, 2008

EQUATE TRADING GROUP LLC

BD
CRD#: 135598
CHICAGO, IL
Past

March 17, 2003 - July 2, 2008

ROSENTHAL GLOBAL SECURITIES LLC

BD
CRD#: 19721
CHICAGO, IL
Past

February 19, 1997 - September 24, 2003

ROSENTHAL COLLINS SECURITIES, L.L.C

BD
CRD#: 41915
CHICAGO, IL
Past

March 25, 1996 - December 31, 1996

GLOBAL INVESTMENT SERVICES, INC.

BD
CRD#: 35752
Past

July 18, 1994 - March 25, 1996

REPUBLIC SECURITIES, INC.

BD
CRD#: 15043

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

General Industry/Product Exam
RR
Series 7
Date: 1/3/2003
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 8/12/1991
National Commodity Futures Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/3/2012
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 7/12/1994
Financial and Operations Principal Examination

Current Firm

PI
PRIME INTERNATIONAL SECURITIES ARBIRAGE, LLC
PRIME INTERNATIONAL SECURITIES ARBIRAGE, LLC

CRD#: 155784 / SEC#: , 8-68742

BD
Terminated by SEC on 02/19/2013
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Contact information

Main Address
Mailing Address
Phone number
Established
Illinois since 07/19/2010
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
PRIME INTERNATIONAL TRADING, LTDMANAGING MEMBER
NAPOLITANO, FRANK ANTHONYDIRECTOR OF PARENT COMPANY2514906
PINE, ARICBOE NOMINEE2470195
SPANIAK, GEORGE NICHOLAS JRMANAGER, CCO, AMLCO2171494
SPANIAK, GEORGE NICHOLAS SRDIRECTOR OF PARENT COMPANY1280256

Disclosures

Regulatory Event1

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

PRIME INTERNATIONAL SECURITIES ARBIRAGE, LLC

CRD#: 155784

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