George Mark O'dowd
Professional Summary
George Mark O'dowd, who also goes by George M Dowd, George Mark Dowd, is a registered financial advisor currently at ERG ASSET MANAGEMENT LLC located in Norwalk, Connecticut and ERG SECURITIES (US) LLC located in New Haven, Connecticut. George is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. George has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
George M Dowd, George Mark Dowd
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
20 years in the financial services industry
Current & Past Employments
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Current Firm
EDEX RECOVERY SOLUTIONS, LLC | ERG ASSET MANAGEMENT LLC
Contact Information
Main Address
50 Washington Street Suite 921, Norwalk, CT 06854Phone Number
(646) 722-9660# of Employees
2Documents
Regulatory Assets Under Management
Total Number of Accounts
4AUM (Assets Under Management)
$7,995,674Similar Advisors
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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.
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State Registrations and Notice Filings
(1/18/2017)
(1/5/2017)
(9/20/2019)
(1/11/2017)
(1/18/2017)
(1/18/2017)
(1/18/2017)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view George Mark O'dowd's CRS (Customer Relationship Summary).
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