George Pecuch
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 Pecuch, who also goes by George G Pecuch, George Gregory Pecuch, was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1996. George had worked at 12 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 21, 2011 - September 14, 2012
NEW ENGLAND SECURITIES
October 24, 2011 - September 14, 2012
NEW ENGLAND SECURITIES
March 14, 2011 - October 19, 2011
LINCOLN INVESTMENT
March 11, 2011 - October 19, 2011
LINCOLN INVESTMENT
May 4, 2010 - March 2, 2011
ALLSTATE FINANCIAL SERVICES, LLC
October 10, 2007 - December 1, 2008
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
January 16, 2007 - August 1, 2007
CHASE INVESTMENT SERVICES CORP.
January 12, 2007 - August 1, 2007
CHASE INVESTMENT SERVICES CORP.
October 5, 2006 - December 7, 2006
VALIC FINANCIAL ADVISORS, INC.
October 4, 2006 - December 7, 2006
VALIC FINANCIAL ADVISORS, INC.
January 14, 2003 - September 27, 2006
STRATEGIC ADVISERS LLC
January 18, 2001 - September 27, 2006
FIDELITY BROKERAGE SERVICES LLC
May 16, 2000 - January 5, 2001
NATCITY INSURANCE SERVICES, INC.
May 8, 2000 - January 5, 2001
NATCITY INVESTMENTS, INC.
November 23, 1999 - May 5, 2000
WELLS FARGO CLEARING SERVICES, LLC
February 21, 1996 - March 18, 1996
PRUCO SECURITIES, LLC.
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
Current Firm
NEW ENGLAND SECURITIES
CRD#: 615 / SEC#: 801-47061, 8-13910
Contact information
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEW ENGLAND LIFE INSURANCE COMPANY ("NELICO" OR "NEW ENGLAND FINANCIAL") | 100% SHAREHOLDER | |
| COHN, MARC ALLAN | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER | 2464524 |
| CRUZ, ORLANDO RAFAEL JR | PRESIDENT AND CHAIRMAN | 2311194 |
| FORGET, ELIZABETH MARY | DIRECTOR AND CHAIRMAN | 2767945 |
| HALPERIN, JEFFREY PAUL | ANTI-MONEY LAUNDERING OFFICER | 2899327 |
| HALPERIN, JEFFREY PAUL | CHIEF COMPLIANCE OFFICER, BROKER-DEALER | 2899327 |
| HONKUS, TINA MARIE | VICE-PRESIDENT, LICENSING AND REGISTRATION | 1288648 |
| LACEK, MICHAEL J | CHIEF LEGAL OFFICER | |
| LAPIANA, PAUL ANTHONY | DIRECTOR | 2237245 |
| MARTINEZ, JOHN GREGORY | VICE PRESIDENT AND FINANCIAL OPERATIONS PRINCIPAL | 2210722 |
| MINK, DAVID MYERS | CHIEF OPERATIONS OFFICER | 2606831 |
| MURPHY, SEAN ANDREW | VICE-PRESIDENT | 1963911 |
| REYNOLDS, TYLA LYNN | SECRETARY | 6318828 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 10 |
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.
