George K. Mouradian
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 Kevin Mouradian, who also goes by George K Mouradian, was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1993. George had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 3, 2023 - October 4, 2023
FINANCIAL RESOURCES GROUP INVESTMENT SERVICES, LLC
January 17, 2023 - December 18, 2024
LPL FINANCIAL LLC
January 17, 2023 - December 18, 2024
LPL FINANCIAL LLC
May 2, 2022 - January 26, 2023
UNITED BROKERAGE SERVICES, INC
May 2, 2022 - January 26, 2023
UNITED BROKERAGE SERVICES, INC
April 10, 2021 - May 16, 2022
LPL FINANCIAL LLC
March 29, 2021 - May 16, 2022
LPL FINANCIAL LLC
August 15, 2014 - March 23, 2021
CUNA BROKERAGE SERVICES, INC.
August 14, 2014 - March 23, 2021
CUNA BROKERAGE SERVICES, INC.
August 10, 2011 - August 7, 2014
INVEST FINANCIAL CORPORATION
August 10, 2011 - August 7, 2014
INVEST FINANCIAL CORPORATION
September 9, 2010 - August 10, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
September 9, 2010 - August 10, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
August 25, 2009 - August 18, 2010
HSBC SECURITIES (USA) INC.
August 25, 2009 - August 18, 2010
HSBC SECURITIES (USA) INC.
May 12, 2008 - August 14, 2009
DAVID LERNER ASSOCIATES, INC.
December 20, 2006 - May 12, 2008
HSBC SECURITIES (USA) INC.
December 20, 2006 - May 12, 2008
HSBC SECURITIES (USA) INC.
August 24, 2005 - December 19, 2006
TD WEALTH MANAGEMENT SERVICES INC.
August 24, 2005 - December 19, 2006
TD WEALTH MANAGEMENT SERVICES INC.
March 28, 2005 - July 21, 2005
FISERV INVESTOR SERVICES, INC.
April 29, 2004 - March 31, 2005
BNY INVESTMENT CENTER INC.
July 21, 2003 - April 12, 2004
IFMG SECURITIES, INC.
August 3, 1998 - April 12, 2004
IFMG SECURITIES, INC.
February 28, 1994 - August 3, 1998
INDEPENDENT FINANCIAL SECURITIES, INC.
April 21, 1993 - March 30, 1994
PRUCO SECURITIES, LLC.
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
Current Firm
FINANCIAL RESOURCES GROUP INVESTMENT SERVICES, LLC
CRD#: 170845 / SEC#: , 8-69435
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL CAPITAL PARTNERS, INC | OWNER | |
| KEADY, LAURA ANN | CFO / PFO / POO | 6516152 |
| LANK, STEPHEN JOHN-PATRICK | PRESIDENT | 2997028 |
| LIDDINGTON, JAMES | CHIEF AML OFFICER / MUNICIPAL SECURITIES PRINCIPAL | 4326825 |
| MILLER, EDWARD BRUCE | CEO | 1680275 |
| RICH, DAVID SEAN | CCO | |
| STIEVE, MARK ALAN | SVP | 1521386 |
| THOMPSON, JERRY CHRISTOPHER | VP | 2621099 |
Disclosures
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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