George K. Roe

IRONWOOD CAPITAL MANAGEMENT

Largo, FL

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CRD#: 2711037

Professional summary

George Kessler Roe is a registered financial advisor currently at IRONWOOD CAPITAL MANAGEMENT, LLC located in Largo, Florida.

George is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. George has worked at 9 firms and has passed the Series 66, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view George Kessler Roe's CRS (Customer Relationship Summary).

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

Current

October 18, 2013 - Present

IRONWOOD CAPITAL MANAGEMENT, LLC

RIA

CRD#: 168858

Largo, FL

Past

June 5, 2013 - September 30, 2013

INVESTMENT PLANNERS, INC.

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.

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.

CRD#: 5393

ST. PETERSBURG, FL

Past

September 27, 2001 - May 23, 2002

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

September 27, 2001 - May 23, 2002

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

October 1, 1996 - April 23, 1997

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

CRD#: 332

SAN MATEO, CA

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(10/18/2013)

IAR

Texas
(1/2/2014)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/6/2002

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 9/26/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/30/1996

Investment Company Products/Variable Contracts Representative Examination

Current Firm

IRONWOOD CAPITAL MANAGEMENT, LLC

CRD#: 168858 / SEC#:

Florida

Registered Investment Advisory firm - (10/18/2013 Approved)

Texas

Registered Investment Advisory firm - (1/2/2014 Conditional Restricted)

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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

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	55
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.

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Firm Stability Insights

George K. Roe

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view George Kessler Roe's CRS (Customer Relationship Summary).

Certified licenses

Experience

INVESTMENT PLANNERS, INC.

IPI WEALTH MANAGEMENT, INC.

BELLEAIR ASSET MANAGEMENT, INC

DOWNSTATE SECURITIES GROUP, INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/6/2002

Series 7

Date: 9/26/2001

Series 6

Date: 9/30/1996

Current Firm

IRONWOOD CAPITAL MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

IRONWOOD CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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