George N. Hallad
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 Noel Hallad was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1969. George had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 5, Series 000, Series 1, Series 4, Series 40 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 7, 2009 - March 21, 2017
UNION CAPITAL COMPANY
July 6, 2009 - March 21, 2017
UNION CAPITAL COMPANY
August 3, 2006 - July 1, 2009
WEDBUSH SECURITIES INC.
October 14, 2003 - July 1, 2009
WEDBUSH SECURITIES INC.
May 17, 1999 - October 13, 2003
TORREY PINES SECURITIES, INC.
February 3, 1999 - October 13, 2003
TORREY PINES SECURITIES, INC.
February 9, 1998 - March 2, 1998
JWGENESIS SECURITIES, INC.
September 24, 1997 - January 23, 1998
BLUESTONE CAPITAL CORP.
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
February 27, 1976 - August 27, 1976
BACHE & CO INCORPORATED
April 24, 1969 - February 27, 1976
BACHE & CO., INCORPORATED
April 21, 1969 - August 23, 1996
PRUDENTIAL EQUITY GROUP, LLC
Primary Firm SEC Registration
UNION CAPITAL COMPANY
CRD#: 110301 / SEC#: 801-121320, 8-53127
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 5
Date: 11/19/1981
Interest Rate Options ExaminationSeries 000
Date: 4/21/1969
General Securities Principal ExaminationSeries 1
Date: 4/21/1969
Registered Representative ExaminationSeries 40
Date: 12/5/1974
Registered Principal ExaminationSeries 12
Date: 11/21/1974
NYSE Branch Manager ExaminationCurrent Firm
UNION CAPITAL COMPANY
CRD#: 110301 / SEC#: 801-121320, 8-53127
Contact information
SEC notice filing (16 States and Territories)
FINRA licenses (43 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 517 |
| AUM (Assets Under Management) | $ 177,000,000 |
Disclosures
| Regulatory Event | 2 |
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.
