George Spivak
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 Spivak, CFP®, who also goes by George Page, George Joseph Spivak, George Spivak, George J Spivak, was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1995. George had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 24, Series 8 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 2, 2025 - April 28, 2026
EDWARD JONES
August 29, 2025 - April 28, 2026
EDWARD JONES
August 31, 2023 - September 3, 2024
ASCENSUS BROKER DEALER SERVICES, LLC
June 6, 2022 - September 3, 2024
NEWPORT GROUP CONSULTING, LLC
March 28, 2022 - August 31, 2023
NEWPORT GROUP SECURITIES, INC.
September 3, 2020 - January 7, 2021
VALIC FINANCIAL ADVISORS, INC.
August 26, 2020 - January 7, 2021
VALIC FINANCIAL ADVISORS, INC.
January 1, 2008 - April 6, 2020
FIDELITY BROKERAGE SERVICES LLC
March 8, 2005 - January 1, 2008
FIDELITY DISTRIBUTORS COMPANY LLC
May 16, 1998 - January 25, 2005
FIDELITY BROKERAGE SERVICES LLC
April 24, 1997 - May 12, 1998
AMERIPRISE ADVISOR SERVICES, INC.
March 18, 1997 - April 28, 1997
CITISTREET EQUITIES LLC
June 21, 1995 - March 4, 1997
STANDARD BROKERAGE SERVICES, INC.
April 5, 1995 - July 13, 1995
AMERIPRISE ADVISOR SERVICES, INC.
Primary Firm SEC Registration
EDWARD JONES
CRD#: 250 / SEC#: 801-3297, 8-759
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 8
Date: 7/3/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
EDWARD JONES
CRD#: 250 / SEC#: 801-3297, 8-759
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE JONES FINANCIAL COMPANIES, L.L.L.P. | LIMITED PARTNER | |
| CHUBAK, DAVID | HEAD OF WEALTH MANAGEMENT & FIELD MANAGEMENT | 3254042 |
| EDJ HOLDING COMPANY, INC. | GENERAL PARTNER | |
| GREGO, JENNIFER A | CHIEF COMPLIANCE OFFICER - BROKER/DEALER | 4928947 |
| GUMBS, KEIR DEVON | CHIEF LEGAL OFFICER | 7815615 |
| GUNN, DAVID ALEXANDER | HEAD OF U.S. BUSINESS UNIT | 6150579 |
| JOHNSON, KRISTIN MICHELE | CHIEF OPERATING OFFICER | 2662524 |
| KLOCKE, JOSEPH LAWRENCE | CO-HEAD OF SUPERVISION | 2792068 |
| MIEDLER, ANDREW TIMOTHY | CHIEF FINANCIAL OFFICER | 4620055 |
| O'HANLON, ELIZABETH E | CHIEF COMPLIANCE OFFICER - INVESTMENT ADVISOR | 5834716 |
| PENNINGTON, PENELOPE | CHIEF EXECUTIVE OFFICER | 4037237 |
| PURDY, TODD JUDSON | HEAD OF OPERATIONS | 5623190 |
| WHALLEY, CASEY JOHN | CO-HEAD OF SUPERVISION | 4305865 |
Regulatory assets under management
| Total Number of Accounts | 5,086,856 |
| AUM (Assets Under Management) | $ 824,988,034,503 |
Disclosures
| Regulatory Event | 160 |
| Civil Event | 2 |
| Arbitration | 150 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/25/2025 | ||
| 10/24/2024 | ||
| 09/21/2023 |
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.
