Michael M. George

WATTS CAPITAL PARTNERS LLC

New York, NY

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CRD#: 220914

Professional summary

Michael Markoff George is a registered financial advisor currently at WATTS CAPITAL PARTNERS LLC located in New York, New York.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1970. Michael has worked at 13 firms and has passed the Series 66, Series 65, Series 63, Series 7, Series 22, Series 1, Series 39 and Series 00 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

CHASE BANK LOCATED AT 1211 AVE. OF AMERICAS, NY NY 10036 IS A CO-TRUSTEE WITH ME FOR THE TRUST U/W DAVID MCALPIN F/B/O RENEE M.PYLE. CHASE BANK IS ALSO CUSTODIAN OF THE TRUST. THE ACCOUNT IS INVESTMENT RELATED. I SPEND 2 TO 3HRS. A MONTH ON THE ACCOUNT. MORE TIME IF THERE IS ACTIVE TRADING. (WHICH IS SELDOM). I AM PAID A TRUSTEE'S FEE EVERY QUARTER, THE AMOUNT PAID IS BASED ON NEW YORK STATE STATUTORY RATES. I HAVE BEEN A TRUSTEE ON THIS ACCOUNT SINCE 08/21/84 TO PRESENT; PRIOR TO LATE LAST YEAR, THE ACCOUNT WAS ALWAYS DOMICILED WITH MY EMPLOYER, AND WAS NOT AN OUTSIDE BUSINESS INTEREST.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Markoff George's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

June 23, 2023 - Present

WATTS CAPITAL PARTNERS LLC

RIA

CRD#: 149049

New York, NY

Past

October 8, 2018 - December 31, 2022

WATTS CAPITAL PARTNERS LLC

RIA

CRD#: 149049

NEW YORK, NY

Past

June 6, 2013 - November 1, 2018

ATLANTIS ASSET MANAGEMENT, LLC

RIA

CRD#: 160462

NEW YORK, NY

Past

January 25, 2011 - October 5, 2012

GLOBAL ARENA INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 135835

NEW YORK, NY

Past

March 24, 2009 - April 17, 2012

GLOBAL ARENA CAPITAL CORP

CRD#: 16871

NEW YORK, NY

Past

October 31, 2006 - March 23, 2009

SOUTHRIDGE ASSET MANAGEMENT LLC

RIA

CRD#: 136707

NEW YORK, NY

Past

September 25, 2006 - March 23, 2009

SOUTHRIDGE INVESTMENT GROUP LLC

CRD#: 45531

NEW YORK, NY

Past

January 16, 2003 - September 18, 2006

DU PASQUIER & CO., INC.

CRD#: 24750

NEW YORK, NY

Past

May 5, 1997 - February 10, 2003

CORINTHIAN PARTNERS, L.L.C.

CRD#: 38912

NEW YORK, NY

Past

June 12, 1992 - May 7, 1997

LAIDLAW GLOBAL SECURITIES, INC.

CRD#: 19018

NEW YORK, NY

Past

July 8, 1985 - February 12, 1986

MICHAEL M. GEORGE, INC.

CRD#: 15994

Past

April 7, 1977 - July 30, 1980

L. F. ROTHSCHILD & CO. INCORPORATED

CRD#: 501

Past

May 20, 1975 - May 11, 1977

SPENCER TRASK & CO. INCORPORATED

CRD#: 782

Past

October 22, 1970 - June 7, 1975

WOOD STRUTHERS & WINTHROP INC

CRD#: 1000002

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WATTS CAPITAL PARTNERS LLC

NAME 619 | WATTS CAPITAL PARTNERS LLC

CRD#: 149049 / SEC#: 801-78813

RIA

Registered Investment Advisory firm - (11/19/2013 Approved)

Connecticut

Registered Investment Advisory firm - (12/5/2013 Terminated)

New Jersey

Registered Investment Advisory firm - (12/4/2013 Terminated)

New York

Registered Investment Advisory firm - (12/4/2013 Terminated)

Oregon

Registered Investment Advisory firm - (12/4/2013 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New York
(6/23/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/19/2007

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 8/6/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/18/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/10/1992

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 2/1/1985

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 1

Date: 10/19/1970

Registered Representative Examination

Principal/Supervisory Exam

Series 39

Date: 2/26/1985

Direct Participation Programs Principal Examination

Principal/Supervisory Exam

Series 00

Date: 3/7/1974

General Securities Principal Examination

Current Firm

WATTS CAPITAL PARTNERS LLC

NAME 619 | WATTS CAPITAL PARTNERS LLC

CRD#: 149049 / SEC#: 801-78813

RIA

Registered Investment Advisory firm - (11/19/2013 Approved)

Connecticut

Registered Investment Advisory firm - (12/5/2013 Terminated)

New Jersey

Registered Investment Advisory firm - (12/4/2013 Terminated)

New York

Registered Investment Advisory firm - (12/4/2013 Terminated)

Oregon

Registered Investment Advisory firm - (12/4/2013 Terminated)

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Contact information

Main Address

New York, NY

Mailing Address

Phone number

(212) 735-8921

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WATTS FORM 2B - TY BUCKELEW (2/14/2025)

WATTS FORM 2B - TOM WATTS (2/14/2025)

WATTS CAPITAL PARTNERS CLIENT BROCHURE 2025 (2/14/2025)

Regulatory assets under management

Total Number of Accounts	405
AUM (Assets Under Management)	$ 72,938,892

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.

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Firm Stability Insights

Michael M. George

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Markoff George's CRS (Customer Relationship Summary).

Certified licenses

Experience

WATTS CAPITAL PARTNERS LLC

ATLANTIS ASSET MANAGEMENT, LLC

GLOBAL ARENA INVESTMENT MANAGEMENT, LLC

GLOBAL ARENA CAPITAL CORP

SOUTHRIDGE ASSET MANAGEMENT LLC

SOUTHRIDGE INVESTMENT GROUP LLC

DU PASQUIER & CO., INC.

CORINTHIAN PARTNERS, L.L.C.

LAIDLAW GLOBAL SECURITIES, INC.

MICHAEL M. GEORGE, INC.

L. F. ROTHSCHILD & CO. INCORPORATED

SPENCER TRASK & CO. INCORPORATED

WOOD STRUTHERS & WINTHROP INC

Primary Firm SEC Registration

WATTS CAPITAL PARTNERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/19/2007

Series 65

Date: 8/6/1996

Series 63

Date: 6/18/1992

Series 7

Date: 6/10/1992

Series 22

Date: 2/1/1985

Series 1

Date: 10/19/1970

Series 39

Date: 2/26/1985

Series 00

Date: 3/7/1974

Current Firm

WATTS CAPITAL PARTNERS LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WATTS CAPITAL PARTNERS LLC

TRUST BUT VERIFY

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