George M. O'dowd

ERG ASSET MANAGEMENT LLC

Norwalk, CT 06854

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CRD#: 2219430

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 Norwalk, 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 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

George M Dowd | George Mark Dowd

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.

ERG Asset Management, LLC Co-President 50 Washington St, Suite 401 Norwalk,Ct 06854 Start Date 5/2012 Investment Management company Investment related activity, no capital raising,manage business. 120 hours/month No participation in securities related transactions. ERG Capital Partners, Member 6/1/16 start date 50 Washington St. South Norwalk, Ct Investment Related Business Work with clients to facilitate raising of capital. Working with client to raise capital via private placements GMOD LLC, Sole member 50 Washington St, Suite 401 Norwalk,Ct 06854 Start Date 5/2012 Holding company for personal investments Investment related activity, no capital raising, 0 (zero) hours/month No participation in securities related transactions.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view George Mark O'dowd's 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

September 20, 2019 - Present

ERG ASSET MANAGEMENT LLC

Office #1: 50 Washington Street Suite 921, Norwalk, CT 06854

RIA

CRD#: 161694

Norwalk, CT

Current

January 4, 2017 - Present

ERG SECURITIES (US) LLC

Office #1: 50 Washington Street, Suite 921, Norwalk, CT 06854

CRD#: 121057

Norwalk, CT

Past

June 14, 2004 - May 10, 2007

NOMURA SECURITIES INTERNATIONAL, INC.

CRD#: 4297

NEW YORK, NY

Past

April 8, 2002 - May 20, 2004

COMMERZBANK CAPITAL MARKETS CORP.

CRD#: 21787

NEW YORK, NY

Past

February 12, 2001 - April 4, 2002

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

Past

April 12, 2000 - February 12, 2001

JPMSI

CRD#: 15733

NEW YORK, NY

Past

July 9, 1999 - April 7, 2000

GENERAL RE SECURITIES CORPORATION

CRD#: 29434

NEW YORK, NY

Past

June 29, 1998 - July 6, 1999

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

September 2, 1997 - June 29, 1998

SBC WARBURG DILLON READ INC.

CRD#: 1650

STAMFORD, CT

Past

September 6, 1996 - September 2, 1997

SBC WARBURG, INC.

CRD#: 23745

NEW YORK, NY

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(1/18/2017)

Connecticut
(1/5/2017)

IAR

Connecticut
(9/20/2019)

Illinois
(1/11/2017)

Massachusetts
(1/18/2017)

New York
(1/18/2017)

Texas
(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

State Security Law Exam

IAR

Series 66

Date: 9/20/2019

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/18/2017

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/4/2017

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/16/2019

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ERG ASSET MANAGEMENT LLC

EDEX RECOVERY SOLUTIONS, LLC | ERG ASSET MANAGEMENT LLC

CRD#: 161694 / SEC#: 801-74485

RIA

Registered Investment Advisory firm - (11/20/2019 Terminated)

Connecticut

Registered Investment Advisory firm - (11/19/2019 Approved)

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).

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Contact information

Main Address

50 Washington Street Suite 921, Norwalk, CT 06854

Mailing Address

Phone number

(646) 722-9660

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	4
AUM (Assets Under Management)	$ 7,995,674

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

George M. O'dowd

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view George Mark O'dowd's CRS (Customer Relationship Summary).

Certified licenses

Experience

ERG SECURITIES (US) LLC

NOMURA SECURITIES INTERNATIONAL, INC.

COMMERZBANK CAPITAL MARKETS CORP.

J.P. MORGAN SECURITIES INC.

JPMSI

GENERAL RE SECURITIES CORPORATION

UBS SECURITIES LLC

SBC WARBURG DILLON READ INC.

SBC WARBURG, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/20/2019

Series 63

Date: 1/18/2017

SIE

Date: 10/1/2018

Series 7

Date: 1/4/2017

Series 24

Date: 4/16/2019

FINRA

Current Firm

ERG ASSET MANAGEMENT LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ERG ASSET MANAGEMENT LLC

TRUST BUT VERIFY

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