George M. Goritz
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 Michael Goritz was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1970. George had worked at 20 firms and has passed the Series 63, Series 3, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 22, 1997 - January 4, 2002
BUCKMAN, BUCKMAN & REID, INC.
July 30, 1997 - October 10, 1997
SBK-BROOKS INVESTMENT CORP.
October 18, 1996 - July 9, 1997
H.J. MEYERS & CO., INC.
October 26, 1994 - November 5, 1996
THE HIGHLAND CAPITAL GROUP, INC.
June 28, 1993 - November 3, 1994
BARCLAY INVESTMENTS LLC
July 30, 1992 - November 13, 1996
EUROPA SECURITIES, LLC
August 13, 1991 - May 12, 1992
EUROPEAN AMERICAN SECURITIES, INC.
June 15, 1990 - July 26, 1991
LADENBURG THALMANN & CO. INC.
August 31, 1989 - April 20, 1990
YAMAICHI INTERNATIONAL (AMERICA) INC.
May 17, 1988 - August 21, 1989
RBC CAPITAL MARKETS CORPORATION
April 13, 1988 - August 9, 1988
OPPENHEIMER & CO. INC.
September 25, 1985 - October 16, 1987
HARRIS NESBITT CORP.
September 25, 1985 - April 13, 1988
FAHNESTOCK INTERNATIONAL INC.
January 17, 1984 - September 16, 1985
ROONEY, PACE INC.
June 4, 1982 - March 3, 1987
CHESTER WHITE SECURITIES CORP.
July 13, 1978 - January 27, 1981
BECKER PARIBAS INCORPORATED
December 24, 1974 - July 13, 1978
BECKER SECURITIES INCORPORATED
October 5, 1973 - November 25, 1975
A. G. BECKER & CO., INCORPORATED
December 1, 1971 - October 13, 1973
EDWARDS & HANLY
April 8, 1971 - December 27, 1971
BUTCHER & SINGER INC.
June 18, 1970 - April 26, 1971
EDWARDS & HANLY
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
Series 1
Date: 10/14/1960
Registered Representative ExaminationSeries 40
Date: 12/4/1978
Registered Principal ExaminationCurrent Firm
BUCKMAN, BUCKMAN & REID, INC.
CRD#: 23407 / SEC#: , 8-40413
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JTC HOLDINGS LLC | SHARE HOLDER | |
| GIAKAS, WALLACE MARTIN | STOCKHOLDER | 1068278 |
| LAU, PETER SEN | STOCKHOLDER | 2302677 |
| YANG, ZHAO | SHAREHOLDER | 6077274 |
| ALMERINI, LOUIS ACHILLE | FINOP | 1605183 |
| BUCKMAN, HARRY JOHN | CHAIRMAN, RSOP | 1090909 |
| BUCKMAN, HARRY JOHN JR | SR. VICE PRESIDENT | 2202467 |
| BUCKMAN, MARY | STOCKHOLDER | 5823239 |
| BUCKMAN, THOMAS PAUL | SECRETARY | 2577168 |
| CAMPOLI, JOHN | SHAREHOLDER | 6596748 |
| PANNO, RICHARD ANTHONY | CHIEF COMPLIANCE OFFICER | 724727 |
| SHOICHET, MARK ELLIOTT | STOCKHOLDER | 2301353 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 4 |
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.
