George Grafas
Professional summary
George Grafas 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 1994. Prior to being barred, George had worked at 8 firms, which includes WHITAKER SECURITIES LLC, GRANITE ASSOCIATES INC, CONTINENTAL BROKER-DEALER CORP., HARRISON SECURITIES INC., FIRST ALLIED SECURITIES INC., EASTBROOK CAPITAL GROUP LLC, NORTHEAST SECURITIES LLC, MORGAN STANLEY DW INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 19, 2006 - October 19, 2007
WHITAKER SECURITIES LLC
January 6, 2004 - June 5, 2006
GRANITE ASSOCIATES, INC
April 21, 2003 - January 21, 2004
CONTINENTAL BROKER-DEALER CORP.
June 13, 2002 - May 20, 2003
HARRISON SECURITIES, INC.
October 20, 2000 - June 13, 2002
FIRST ALLIED SECURITIES, INC.
October 23, 1996 - October 31, 2000
EASTBROOK CAPITAL GROUP LLC
March 14, 1996 - October 29, 1996
NORTHEAST SECURITIES, LLC
October 26, 1994 - April 3, 1996
MORGAN STANLEY DW INC.
September 26, 1994 - October 24, 1994
CONTINENTAL BROKER-DEALER CORP.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
WHITAKER SECURITIES LLC
CRD#: 121465 / SEC#: , 8-65419
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NICOSIA, ROSALIE MARGARET | CHIEF COMPLIANCE OFFICER, CRCP | 4239124 |
Disclosures
| Regulatory Event | 6 |
Red Flags
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