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George K. Roe

Some features on this profile are disabled
CRD#: 2711037
GR

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 Kessler Roe was a registered financial professional .

George is a previously registered financial professional and started their career in finance in 1996. George had worked at 9 firms and has passed the Series 66, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

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

October 18, 2013 - December 31, 2025

IRONWOOD CAPITAL MANAGEMENT, LLC

RIA
CRD#: 168858
SEMINOLE, FL
Past

June 5, 2013 - September 30, 2013

INVESTMENT PLANNERS, INC.

BD
CRD#: 18557
BELLEAIR BLUFFS, FL
Past

May 30, 2013 - September 30, 2013

IPI WEALTH MANAGEMENT, INC.

RIA
CRD#: 111872
BELLEAIR BLUFFS, FL
Past

September 18, 2008 - September 3, 2013

BELLEAIR ASSET MANAGEMENT, INC

RIA
CRD#: 138961
BELLEAIR BLUFFS, FL
Past

September 2, 2008 - September 3, 2013

DOWNSTATE SECURITIES GROUP, INC.

BD
CRD#: 8686
BELLEAIR BLUFFS, FL
Past

November 14, 2002 - July 8, 2008

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
ST. PETERSBURG, FL
Past

August 2, 2002 - July 8, 2008

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
ST. PETERSBURG, FL
Past

September 27, 2001 - May 23, 2002

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

September 27, 2001 - May 23, 2002

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN
Past

October 1, 1996 - April 23, 1997

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

BD
CRD#: 332
SAN MATEO, CA

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
RR
IAR
Series 66
Date: 11/6/2002
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 9/26/2001
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 9/30/1996
Investment Company Products/Variable Contracts Representative Examination

Current Firm

IC
IRONWOOD CAPITAL MANAGEMENT, LLC
IRONWOOD CAPITAL MANAGEMENT, LLC

CRD#: 168858 / SEC#:

Florida
Registered Investment Advisory firm - (10/18/2013 Approved)
Texas
Registered Investment Advisory firm - (12/31/2025 Failure to Renew)
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Contact information

Main Address
Seminole, FL
Mailing Address
Phone number
(727) 530-9100
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts55
AUM (Assets Under Management)$ 12,795,668

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.

Company Information

IRONWOOD CAPITAL MANAGEMENT, LLC

CRD#: 168858

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