George S. Comparetto

Some features on this profile are disabled

CRD#: 2465046

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 Scott Comparetto was a registered financial professional .

George is a previously registered financial professional and started their career in finance in 1994. George had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 10, 2014 - September 11, 2018

JPMORGAN DISTRIBUTION SERVICES, INC.

CRD#: 104234

JERSEY CITY, NJ

Past

April 29, 2014 - September 3, 2014

HSBC SECURITIES (USA) INC.

CRD#: 19585

NEW YORK CITY, NY

Past

January 23, 2001 - February 28, 2014

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

BALTIMORE, MD

Past

April 26, 2000 - January 2, 2001

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

May 4, 1999 - April 4, 2000

BB&T INVESTMENT SERVICES, INC.

CRD#: 33856

CHARLOTTE, NC

Past

March 17, 1995 - May 13, 1999

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

December 8, 1994 - April 6, 1995

FIRST UNION CAPITAL MARKETS CORP.

CRD#: 6124

CHARLOTTE, NC

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/10/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/9/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/11/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/7/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 5/11/2001

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 3/12/2001

General Securities Sales Supervisor - Options Module Examination

Current Firm

JPMORGAN DISTRIBUTION SERVICES, INC.

JPMORGAN DISTRIBUTION SERVICES, INC. | ONE GROUP DEALER SERVICES, INC.

CRD#: 104234 / SEC#: , 8-52700

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1111 Polaris Parkway, Columbus, OH 43240

Mailing Address

1111 Polaris Parkway Mail Code: Oh1-0004, Columbus, OH 43240

Phone number

(201) 595-1958

Established

Delaware since 10/25/1999

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
JPMORGAN ASSET MANAGEMENT HOLDINGS INC.	STOCKHOLDER
BARTA, WENDY KAY	PRESIDENT AND DIRECTOR	2855534
KLOZA, KEVIN	CHIEF COMPLIANCE OFFICER	2188958
LEKSTUTIS, CARMINE	CHIEF LEGAL OFFICER	6990745
LISHER, ANDREA	DIRECTOR	4493750
MACHULSKI, MICHAEL RICHARD	PRINCIPAL FINANCIAL AND OPERATIONS OFFICER AND DIRECTOR	4726972
SANZONE, JOSEPH FRANK	DIRECTOR	6581797

Disclosures

Regulatory Event

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

George S. Comparetto

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

HSBC SECURITIES (USA) INC.

DEUTSCHE BANK SECURITIES INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

BB&T INVESTMENT SERVICES, INC.

CITIGROUP GLOBAL MARKETS INC.

FIRST UNION CAPITAL MARKETS CORP.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/10/1998

Series 63

Date: 1/9/1995

SIE

Date: 9/11/2018

Series 7

Date: 12/7/1994

Series 10

Date: 5/11/2001

Series 9

Date: 3/12/2001

Current Firm

JPMORGAN DISTRIBUTION SERVICES, INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

JPMORGAN DISTRIBUTION SERVICES, INC.

TRUST BUT VERIFY

Similar Advisors