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GH

George B. Holstead

COHEN & COMPANY SECURITIES
BOCA RATON, FL 33431
Some features on this profile are disabled
CRD#: 2389943
GH

Professional summary

George B Holstead III is a registered financial professional currently at COHEN & COMPANY SECURITIES, LLC located in Boca Raton, Florida.

George is registered as a RR (Registered Representative) and started their career in finance in 1993. George has worked at 12 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 24, Series 9 and Series 10 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view George B Holstead III's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

January 8, 2024 - Present

COHEN & COMPANY SECURITIES, LLC

Office #1: 1800 N. Military Trail Suite 450, Boca Raton, FL 33431
BD
CRD#: 149758
BOCA RATON, FL
Past

September 10, 2019 - January 9, 2024

INSPEREX LLC

BD
CRD#: 101420
Delray Beach, FL
Past

June 12, 2014 - August 27, 2019

BREAN CAPITAL, LLC

BD
CRD#: 23723
NEW YORK, NY
Past

October 12, 2012 - June 17, 2014

D.A. DAVIDSON & CO.

BD
CRD#: 199
winter park, FL
Past

July 15, 2010 - October 26, 2012

STERNE, AGEE & LEACH, INC.

BD
CRD#: 791
MERCER ISLAND, WA
Past

March 9, 2007 - June 7, 2010

FINACORP SECURITIES

BD
CRD#: 41569
MERCER ISLAND, WA
Past

March 6, 2000 - March 5, 2007

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
SEATTLE, WA
Past

March 2, 1998 - March 6, 2000

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
NEW YORK, NY
Past

May 19, 1997 - March 2, 1998

DAIN RAUSCHER INCORPORATED

BD
CRD#: 7600
Past

September 23, 1996 - May 23, 1997

MORGAN KEEGAN & COMPANY, LLC

BD
CRD#: 4161
MEMPHIS, TN
Past

April 8, 1996 - September 24, 1996

AMERISTAR CAPITAL MARKETS, INC.

BD
CRD#: 17068
Past

August 24, 1993 - April 4, 1996

VINING-SPARKS IBG, LLC

BD
CRD#: 27502
MEMPHIS, TN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(1/8/2024)
RR
Alaska
(1/8/2024)
RR
Arizona
(1/8/2024)
RR
Arkansas
(1/8/2024)
RR
California
(1/8/2024)
RR
Colorado
(1/8/2024)
RR
Connecticut
(1/8/2024)
RR
Delaware
(1/8/2024)
RR
District of Columbia
(1/8/2024)
RR
Florida
(1/8/2024)
RR
Georgia
(1/8/2024)
RR
Hawaii
(1/8/2024)
RR
Idaho
(1/8/2024)
RR
Illinois
(1/8/2024)
RR
Indiana
(1/8/2024)
RR
Iowa
(1/8/2024)
RR
Kansas
(1/8/2024)
RR
Kentucky
(1/8/2024)
RR
Louisiana
(1/8/2024)
RR
Maine
(1/8/2024)
RR
Maryland
(1/8/2024)
RR
Massachusetts
(1/8/2024)
RR
Michigan
(1/8/2024)
RR
Minnesota
(1/8/2024)
RR
Mississippi
(1/8/2024)
RR
Missouri
(1/8/2024)
RR
Montana
(1/8/2024)
RR
Nebraska
(1/8/2024)
RR
Nevada
(1/8/2024)
RR
New Hampshire
(1/8/2024)
RR
New Jersey
(1/8/2024)
RR
New Mexico
(1/8/2024)
RR
New York
(1/8/2024)
RR
North Carolina
(1/8/2024)
RR
North Dakota
(1/8/2024)
RR
Ohio
(1/9/2024)
RR
Oklahoma
(1/8/2024)
RR
Oregon
(1/8/2024)
RR
Pennsylvania
(1/8/2024)
RR
Puerto Rico
(1/8/2024)
RR
Rhode Island
(1/8/2024)
RR
South Carolina
(1/8/2024)
RR
South Dakota
(1/8/2024)
RR
Tennessee
(1/8/2024)
RR
Texas
(1/8/2024)
RR
Utah
(1/8/2024)
RR
Vermont
(1/8/2024)
RR
Virgin Islands
(1/8/2024)
RR
Virginia
(1/8/2024)
RR
Washington
(1/8/2024)
RR
West Virginia
(1/8/2024)
RR
Wisconsin
(1/8/2024)
RR
Wyoming
(1/8/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 8/26/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/23/1993
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/10/2021
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 9
Date: 2/8/2001
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/25/2001
General Securities Sales Supervisor - General Module Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

C&
COHEN & COMPANY SECURITIES, LLC
C & CO/PRINCERIDGE GROUP LLC | VINSONFORBES & CO. LLC | THE PRINCERIDGE GROUP LLC | J.V.B. FINANCIAL GROUP, LLC | COHEN & COMPANY SECURITIES, LLC | C & CO/PRINCERIDGE LLC

CRD#: 149758 / SEC#: , 8-68186

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
3 Columbus Circle 24th Floor, New York, NY 10019
Mailing Address
3 Columbus Circle 24th Floor, New York, NY 10019
Phone number
(646) 792-5600
Established
Delaware since 12/05/2008
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
J.V.B. FINANCIAL GROUP HOLDINGS, LP.SOLE MEMBER
BRAFMAN, LESTER RAYMONDCHIEF EXECUTIVE OFFICER1895749
BURKLIN, STEPHAN GEORGEEXECUTIVE VICE PRESIDENT1808970
LISTMAN, DOUGLASCFO5894307
VACCA, KATHARINE ELIZABETHCHIEF COMPLIANCE OFFICER1821586

Disclosures

Regulatory Event6

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.

Company Information

COHEN & COMPANY SECURITIES, LLC

CRD#: 149758Boca Raton, FL 33431

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