George J. Esser
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 Joseph Esser JR, who also goes by George Joseph Esser, was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1993. George had worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 29, 2012 - December 31, 2015
ALTERNATIVE ASSET INVESTMENT MANAGEMENT SECURITIES, LLC
February 26, 2009 - July 20, 2010
JUNIPER CAPITAL GROUP, LLC
June 19, 2008 - February 24, 2009
GAR WOOD SECURITIES, LLC
November 9, 1995 - November 3, 1999
TQA LEVERAGE FUND L.P.
April 7, 1993 - January 8, 1996
TEMPLETON/FRANKLIN INVESTMENT SERVICES,INC.
State Registrations and Notice Filings
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Exams
Current Firm
ALTERNATIVE ASSET INVESTMENT MANAGEMENT SECURITIES, LLC
CRD#: 135131 / SEC#: , 8-66889
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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