George R. Barker
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 Robert Barker was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1992. George had worked at 17 firms and has passed the 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
September 17, 2018 - March 5, 2024
AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
December 23, 2015 - November 9, 2016
VSR FINANCIAL SERVICES, INC.
December 23, 2015 - November 9, 2016
INVESTORS CAPITAL CORP.
December 23, 2015 - December 31, 2016
LEGEND EQUITIES CORPORATION
December 23, 2015 - November 1, 2017
GIRARD SECURITIES, INC.
December 23, 2015 - August 10, 2018
SUMMIT BROKERAGE SERVICES, INC.
December 23, 2015 - August 10, 2018
FIRST ALLIED SECURITIES, INC.
December 23, 2015 - August 10, 2018
CETERA FINANCIAL SPECIALISTS LLC
December 23, 2015 - August 10, 2018
CETERA ADVISORS LLC
December 23, 2015 - August 10, 2018
CETERA WEALTH SERVICES, LLC
March 12, 2007 - September 9, 2015
WOODBURY FINANCIAL SERVICES, INC.
November 5, 2004 - March 1, 2007
U.S. BANCORP INVESTMENTS, INC.
August 18, 1997 - May 11, 2000
CHARLES SCHWAB & CO., INC.
May 3, 1996 - July 28, 1997
JOHN G. KINNARD AND COMPANY, INCORPORATED
March 26, 1993 - June 5, 1996
AMERIPRISE ADVISOR SERVICES, INC.
April 13, 1992 - March 1, 1993
IDS LIFE INSURANCE COMPANY
April 13, 1992 - March 1, 1993
AMERIPRISE FINANCIAL SERVICES, LLC
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
AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
CRD#: 26506 / SEC#: , 8-42582
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPF HOLDING, LLC | SHAREHOLDER | |
| CARR, GREGORY GERARD | DIRECTOR, CHIEF EXECUTIVE OFFICER, PRESIDENT | 2210835 |
| FLANSBURG, BRETT ALLEN | VICE PRESIDENT, AWM COMPLIANCE AND CHIEF COMPLIANCE OFFICER | 3179474 |
| GERDES, JOSEPH FRANCIS | DIRECTOR, CHIEF OPERATIONS OFFICER, PRINCIPAL OPERATIONS OFFICER | 2391989 |
| MATTOX, MICHAEL SCOTT | VICE PRESIDENT - CONTROLLER, INTERIM CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4383501 |
| SENNE, ANN MARIE | DIRECTOR | 2515669 |
| SWEENEY, JOSEPH EDWARD | DIRECTOR | 4668713 |
Disclosures
| Regulatory Event | 10 |
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.
