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GK

George E. Klinger

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CRD#: 2187216
GK

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 Ed Klinger was a registered financial professional .

George is a previously registered financial professional and started their career in finance in 1992. George had worked at 2 firms and has passed the Series 63 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

January 4, 1995 - January 16, 2001

SPECTRUM INVESTMENT SERVICES, INC.

BD
CRD#: 36962
MISHAWAKA, IN
Past

July 31, 1992 - September 15, 1994

MONEY CONCEPTS CAPITAL CORP

BD
CRD#: 12963
PALM BEACH GARDENS, FL

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

State Security Law Exam
RR
Series 63
Date: 9/11/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 7/30/1992
Investment Company Products/Variable Contracts Representative Examination

Current Firm

SI
SPECTRUM INVESTMENT SERVICES, INC.
SPECTRUM INVESTMENT SERVICES, INC.

CRD#: 36962 / SEC#: , 8-47557

BD
Cancelled by SEC on 01/31/2007
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Contact information

Main Address
Mailing Address
Phone number
Established
Indiana since 04/12/1994
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
SANDERS, MARY LOUISEPRESIDENT, SECRETARY, TREASURER, DIRECTOR, CFO603000
SCHMIDT, MARLIN FREDPRINCIPAL, ASSISTANT COMPLIANCE OFFICER414008

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

SPECTRUM INVESTMENT SERVICES, INC.

CRD#: 36962

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