George C. Dietz
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 Charles Dietz, who also goes by George C Dietz, George Charles Dietz Jr, was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1999. George had worked at 5 firms and has passed the Series 7A exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 26, 2012 - July 1, 2013
E&J SECURITIES CORP.
April 21, 2011 - April 25, 2012
G&L PARTNERS, INC.
January 2, 2007 - April 28, 2009
DRD SECURITIES, INC.
March 17, 2005 - January 3, 2007
MINERO SECURITIES, LLC
April 8, 1999 - March 24, 2005
COWEN AND COMPANY
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 7A
Date: 11/7/2007
Floor Broker Representative ExamCurrent Firm
E&J SECURITIES CORP.
CRD#: 37452 / SEC#: , 8-47773
Contact information
FINRA licenses (1 States and Territories)
Documents
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.
