George H. Brooks
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 H Brooks was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1991. George had worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 21, 2000 - July 13, 2015
CARTHAGE GROUP INC.
May 3, 1999 - March 28, 2000
PARK AVENUE SECURITIES LLC
April 29, 1996 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
November 27, 1991 - March 8, 1995
GUARDIAN INVESTOR SERVICES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CARTHAGE GROUP INC.
CRD#: 18289 / SEC#: , 8-36323
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MCCARTHY, FELIX MICHAEL | PRESIDENT - CEO, CCO | 325110 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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