George D. Lex

QUARTZ PARTNERS INVESTMENT MANAGEMENT

Wayne, PA 19087

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CRD#: 2755908

Professional summary

George Dennis Lex is a registered financial advisor currently at QUARTZ PARTNERS INVESTMENT MANAGEMENT located in Wayne, Pennsylvania and ETICO PARTNERS, LLC located in Wayne, Pennsylvania.

George is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. George has worked at 7 firms and has passed the Series 63, SIE, 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 Dennis Lex's CRS (Customer Relationship Summary).

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

May 3, 2023 - Present

QUARTZ PARTNERS INVESTMENT MANAGEMENT

Office #1: 175 Strafford Ave Suite 310, Wayne, PA 19087

RIA

CRD#: 174327

Wayne, PA

Current

January 30, 2018 - Present

ETICO PARTNERS, LLC

Office #1: 175 Strafford Ave Suite 1, Wayne, PA 19087

CRD#: 122481

Wayne, PA

Past

July 1, 2011 - October 24, 2023

ETICO WEALTH MANAGEMENT LLC

RIA

CRD#: 151046

KING OF PRUSSIA, PA

Past

January 4, 2010 - January 8, 2018

DINOSAUR FINANCIAL GROUP, L.L.C

CRD#: 104446

King of Prussia, PA

Past

April 20, 2009 - December 31, 2009

MCGINN, SMITH & CO., INC.

RIA

CRD#: 8453

ALLENTOWN, PA

Past

December 10, 2007 - April 1, 2009

MCGINN, SMITH ADVISORS LLC

RIA

CRD#: 137827

ALBANY, NY

Past

December 10, 2007 - December 31, 2009

MCGINN, SMITH & CO., INC.

CRD#: 8453

ALBANY, NY

Past

July 8, 1996 - December 11, 2007

MML INVESTORS SERVICES, LLC

CRD#: 10409

CENTER VALLEY, PA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

QUARTZ PARTNERS INVESTMENT MANAGEMENT

CRD#: 174327 / SEC#: 801-80822

RIA

Registered Investment Advisory firm - (1/20/2015 Approved)

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New Jersey
(1/30/2018)

Pennsylvania
(1/30/2018)

IAR

Pennsylvania
(5/3/2023)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 7/3/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/28/1997

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/3/1996

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

QUARTZ PARTNERS INVESTMENT MANAGEMENT

CRD#: 174327 / SEC#: 801-80822

RIA

Registered Investment Advisory firm - (1/20/2015 Approved)

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Contact information

Main Address

19 Railroad Place Suite 202, Saratoga Springs, NY 12866

Mailing Address

Phone number

(800) 433-0422

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (18 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

QUARTZ PARTNERS ADV PART 2A: CLIENT BROCHURE (3/31/2025)

QUARTZ PARTNERS WRAP BROCHURE (3/31/2025)

ETICO ADV 2A PRIVATE CLIENT BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	1,124
AUM (Assets Under Management)	$ 281,034,901

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 D. Lex

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view George Dennis Lex's CRS (Customer Relationship Summary).

Certified licenses

Experience

ETICO PARTNERS, LLC

ETICO WEALTH MANAGEMENT LLC

DINOSAUR FINANCIAL GROUP, L.L.C

MCGINN, SMITH & CO., INC.

MCGINN, SMITH ADVISORS LLC

MCGINN, SMITH & CO., INC.

MML INVESTORS SERVICES, LLC

Primary Firm SEC Registration

QUARTZ PARTNERS INVESTMENT MANAGEMENT

State Registrations and Notice Filings

Exams

Series 63

Date: 7/3/1996

SIE

Date: 10/1/2018

Series 7

Date: 8/28/1997

Series 6

Date: 7/3/1996

FINRA

Current Firm

QUARTZ PARTNERS INVESTMENT MANAGEMENT

Contact information

SEC notice filing (18 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

QUARTZ PARTNERS INVESTMENT MANAGEMENT

TRUST BUT VERIFY

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