George A. Mahramas
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 Anastasios Mahramas was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1994. George had worked at 10 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 31, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 30, 2012 - February 24, 2026
RAYMOND JAMES & ASSOCIATES, INC.
August 29, 2012 - February 24, 2026
RAYMOND JAMES & ASSOCIATES, INC.
May 19, 2011 - August 23, 2012
WELLS FARGO CLEARING SERVICES, LLC
May 17, 2011 - August 23, 2012
WELLS FARGO CLEARING SERVICES, LLC
February 22, 2010 - May 16, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
February 18, 2010 - May 16, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
September 25, 2009 - January 11, 2010
STIFEL, NICOLAUS & COMPANY, INCORPORATED
September 25, 2009 - January 11, 2010
STIFEL, NICOLAUS & COMPANY, INCORPORATED
March 19, 2007 - September 25, 2009
UBS FINANCIAL SERVICES INC.
September 29, 2005 - September 25, 2009
UBS FINANCIAL SERVICES INC.
June 2, 2005 - August 31, 2005
LEGG MASON WOOD WALKER, INCORPORATED
May 14, 1999 - June 1, 2005
KEYBANC CAPITAL MARKETS INC.
November 19, 1998 - May 14, 1999
KEY INVESTMENTS INC.
November 20, 1997 - December 2, 1998
THE INVESTMENT CENTER, INC.
March 24, 1994 - July 1, 1997
CETERA INVESTMENT SERVICES LLC
Primary Firm SEC Registration
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | HOLDING COMPANY | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| BUNN, JAMES | DIRECTOR | 3130320 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| DELEON, ALLYSSA NICOLE | PRINCIPAL FINANCIAL OFFICER / FINOP | 6902665 |
| ELWYN, TASHTEGO SPRING | PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR | 2319098 |
| KONEFAL, RICHARD EUGENE | DIRECTOR | 2431960 |
| MARTIN, PHILIP ROGER | RIA CHIEF COMPLIANCE OFFICER | 2613565 |
| RUST, KEITH G | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL / SECRETARY | 6306997 |
| SICKLING, JAMES PHILIP | DIRECTOR | 1240810 |
Regulatory assets under management
| Total Number of Accounts | 1,143,145 |
| AUM (Assets Under Management) | $ 500,955,604,975 |
Disclosures
| Regulatory Event | 181 |
| Arbitration | 72 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
