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GH

George L. Hamilton

PRINCIPAL FUNDS DISTRIBUTOR
Roseville, CA 95661
Some features on this profile are disabled
CRD#: 2894614
GH

Professional summary

George Luis Hamilton, who also goes by George Lois Hamilton, George Louis Hamilton, George Hamilton, Jorge Hamilton, is a registered financial professional currently at PRINCIPAL FUNDS DISTRIBUTOR, INC. located in Roseville, California.

George is registered as a RR (Registered Representative) and started their career in finance in 1997. George has worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

George Lois Hamilton | George Louis Hamilton | George Hamilton | Jorge Hamilton

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) - BD

Click below to view George Luis Hamilton'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

October 7, 2013 - Present

PRINCIPAL FUNDS DISTRIBUTOR, INC.

Office #1: 1478 Stone Point Drive Suite 370, Roseville, CA 95661
BD
CRD#: 43261
Roseville, CA
Past

April 1, 2008 - September 19, 2013

CAPITAL BROKERAGE CORPORATION

BD
CRD#: 10465
PLEASANT HILL, CA
Past

July 26, 2007 - April 1, 2008

ASSETMARK CAPITAL CORPORATION

BD
CRD#: 37583
PLEASANT HILL, CA
Past

February 2, 2005 - April 26, 2007

LORING WARD SECURITIES INC.

BD
CRD#: 46337
SAN JOSE, CA
Past

December 22, 1999 - July 1, 2004

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

December 16, 1998 - November 30, 1999

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

BD
CRD#: 332
SAN MATEO, CA
Past

February 26, 1998 - July 16, 1998

NYLIFE SECURITIES LLC

BD
CRD#: 5167
NEW YORK, NY
Past

August 6, 1997 - November 4, 1997

WOODBURY FINANCIAL SERVICES, INC.

BD
CRD#: 421
OAKDALE, MN

State Registrations and Notice Filings

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

RR
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

RR
California
(10/7/2013)

Exams

State Security Law Exam
RR
Series 63
Date: 8/20/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/25/1999
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/4/1997
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

PF
PRINCIPAL FUNDS DISTRIBUTOR, INC.
COMPOSITE DISTRIBUTORS INC. | WM FUNDS DISTRIBUTOR, INC. | PRINCIPAL FUNDS DISTRUBUTOR, INC. | PRINCIPAL FUNDS DISTRIBUTOR, INC. | COMPOSITE FUNDS DISTRIBUTOR, INC.

CRD#: 43261 / SEC#: , 8-50200

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
711 High Street, Des Moines, IA 50392
Mailing Address
711 High Street, Des Moines, IA 50392
Phone number
(800) 222-5852
Established
Washington since 04/17/1997
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY (US), LLCOWNER
BERG, JOHN THOMASDIRECTOR7973551
CLINES, SEAN THOMASCHIEF FINANCIAL OFFICER3055601
DESSOUKI, RAMONA HIATTCHIEF MARKETING OFFICER7812577
HILL, TIMOTHY ALLENNATIONAL SALES MANAGER/DIRECTOR2317289
HOESKE, DINA ROMEOSENIOR DIRECTOR - FUND SHAREHOLDER SERVICES2704646
MURRAY, MICHAEL FRANCISDIRECTOR2074275
SCHOLTEN, MICHAEL JOSEPHPRINCIPAL OPERATIONS OFFICER6388259
STOCKMAN, MICHELLE RENEECHIEF COMPLIANCE OFFICER5010490
WONG, BRANT KPRESIDENT/DIRECTOR (CHAIRMAN)5093714

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

PRINCIPAL FUNDS DISTRIBUTOR, INC.

CRD#: 43261Roseville, CA 95661

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