George M. Warner

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CRD#: 2300570

Professional summary

George Marshall Warner was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

George is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, George had worked at 13 firms, which includes CHELSEA ADVISORY SERVICES INC, CHELSEA FINANCIAL SERVICES, DOMINION PORTFOLIO MANAGEMENT INC., DOMINION INVESTOR SERVICES INC., SB ADVISORY LLC, IFS SECURITIES, KESTRA INVESTMENT SERVICES LLC, LPL FINANCIAL LLC, CETERA INVESTMENT SERVICES LLC, PRUCO SECURITIES LLC., 1717 CAPITAL MANAGEMENT COMPANY, METROPOLITAN LIFE INSURANCE COMPANY, MSI FINANCIAL SERVICES INC..

Question & Answer

Are you a "fiduciary"?

Aliases

George Marshall Warner Jr

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 13, 2018 - October 15, 2019

CHELSEA ADVISORY SERVICES, INC

RIA

CRD#: 150791

Rowlett, TX

Past

September 22, 2017 - October 15, 2019

CHELSEA FINANCIAL SERVICES

CRD#: 47770

STATEN ISLAND, NY

Past

June 28, 2017 - July 28, 2017

DOMINION PORTFOLIO MANAGEMENT, INC.

RIA

CRD#: 106918

ROCKWALL, TX

Past

June 6, 2017 - July 28, 2017

DOMINION INVESTOR SERVICES, INC.

CRD#: 21548

ROCKWALL, TX

Past

March 10, 2017 - April 17, 2017

DOMINION INVESTOR SERVICES, INC.

CRD#: 21548

MARBLE FALLS, TX

Past

March 31, 2015 - March 7, 2017

SB ADVISORY, LLC

RIA

CRD#: 154680

ATLANTA, GA

Past

December 1, 2014 - December 22, 2014

SB ADVISORY, LLC

RIA

CRD#: 154680

ATLANTA, GA

Past

December 1, 2014 - March 7, 2017

IFS SECURITIES

CRD#: 40375

Rockwall, TX

Past

July 18, 2013 - December 2, 2014

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

ROCKWALL, TX

Past

July 10, 2013 - December 2, 2014

KESTRA INVESTMENT SERVICES, LLC

RIA

CRD#: 42046

ROCKWALL, TX

Past

April 1, 2003 - June 26, 2013

LPL FINANCIAL LLC

RIA

CRD#: 6413

ROCKWALL, TX

Past

April 1, 2003 - June 26, 2013

LPL FINANCIAL LLC

CRD#: 6413

ROCKWALL, TX

Past

April 8, 2002 - April 2, 2003

CETERA INVESTMENT SERVICES LLC

RIA

CRD#: 15340

TERRELL, TX

Past

January 16, 2001 - April 2, 2003

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

ST. CLOUD, MN

Past

June 19, 2000 - January 10, 2001

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

July 1, 1996 - May 17, 2000

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

NEWARK, DE

Past

December 9, 1992 - September 7, 1994

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

December 9, 1992 - September 7, 1994

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

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".

CHELSEA ADVISORY SERVICES, INC

CRD#: 150791 / SEC#: 801-112349

RIA

Registered Investment Advisory firm - (1/19/2018 Approved)

California

Registered Investment Advisory firm - (2/23/2018 Terminated)

Connecticut

Registered Investment Advisory firm - (1/25/2018 Terminated)

Georgia

Registered Investment Advisory firm - (3/29/2018 Terminated)

Nevada

Registered Investment Advisory firm - (2/28/2018 Terminated)

New Jersey

Registered Investment Advisory firm - (2/6/2018 Terminated)

New York

Registered Investment Advisory firm - (1/24/2018 Terminated)

Pennsylvania

Registered Investment Advisory firm - (1/25/2018 Terminated)

South Carolina

Registered Investment Advisory firm - (1/24/2018 Terminated)

Texas

Registered Investment Advisory firm - (1/24/2018 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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 4/5/2002

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/31/1992

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: 3/20/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/7/1992

Investment Company Products/Variable Contracts Representative Examination

Current Firm

CHELSEA ADVISORY SERVICES, INC

CRD#: 150791 / SEC#: 801-112349

RIA

Registered Investment Advisory firm - (1/19/2018 Approved)

California

Registered Investment Advisory firm - (2/23/2018 Terminated)

Connecticut

Registered Investment Advisory firm - (1/25/2018 Terminated)

Georgia

Registered Investment Advisory firm - (3/29/2018 Terminated)

Nevada

Registered Investment Advisory firm - (2/28/2018 Terminated)

New Jersey

Registered Investment Advisory firm - (2/6/2018 Terminated)

New York

Registered Investment Advisory firm - (1/24/2018 Terminated)

Pennsylvania

Registered Investment Advisory firm - (1/25/2018 Terminated)

South Carolina

Registered Investment Advisory firm - (1/24/2018 Terminated)

Texas

Registered Investment Advisory firm - (1/24/2018 Terminated)

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Contact information

Main Address

242 Main Street, Staten Island, NY 10307

Mailing Address

Phone number

(718) 967-8400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (17 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CHELSEA ADVISORY ADV 2A - FEBRUARY 2026 (2/18/2026)

Regulatory assets under management

Total Number of Accounts	547
AUM (Assets Under Management)	$ 147,350,970

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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Advisor Monitoring

Firm Stability Insights

George M. Warner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CHELSEA FINANCIAL SERVICES

DOMINION PORTFOLIO MANAGEMENT, INC.

DOMINION INVESTOR SERVICES, INC.

DOMINION INVESTOR SERVICES, INC.

SB ADVISORY, LLC

SB ADVISORY, LLC

IFS SECURITIES

KESTRA INVESTMENT SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CETERA INVESTMENT SERVICES LLC

CETERA INVESTMENT SERVICES LLC

PRUCO SECURITIES, LLC.

1717 CAPITAL MANAGEMENT COMPANY

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

CHELSEA ADVISORY SERVICES, INC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/5/2002

Series 63

Date: 12/31/1992

SIE

Date: 10/1/2018

Series 7

Date: 3/20/2001

Series 6

Date: 12/7/1992

Current Firm

CHELSEA ADVISORY SERVICES, INC

Contact information

SEC notice filing (17 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CHELSEA ADVISORY SERVICES, INC

TRUST BUT VERIFY

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