George C. Stills
Professional summary
George Carver Stills JR. was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
George is a previously registered financial professional and started their career in finance in 1998. Prior to being barred, George had worked at 6 firms, which includes SECURIAN FINANCIAL SERVICES INC., EQUITABLE ADVISORS LLC, QUICK & REILLY INC., MORGAN STANLEY DW INC., FIRST PROVIDENCE FINANCIAL GROUP LLC, WALSH MANNING SECURITIES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 24, 2014 - June 5, 2020
SECURIAN FINANCIAL SERVICES, INC.
February 21, 2014 - June 5, 2020
SECURIAN FINANCIAL SERVICES, INC.
August 13, 2002 - February 18, 2014
EQUITABLE ADVISORS, LLC
December 21, 2001 - February 18, 2014
EQUITABLE ADVISORS, LLC
March 9, 2001 - September 28, 2001
QUICK & REILLY, INC.
April 15, 1999 - February 9, 2001
MORGAN STANLEY DW INC.
August 25, 1998 - March 31, 1999
FIRST PROVIDENCE FINANCIAL GROUP, LLC
August 4, 1998 - August 5, 1998
WALSH MANNING 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
SECURIAN FINANCIAL SERVICES, INC.
CRD#: 15296 / SEC#: 801-45152, 8-31955
Contact information
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURIAN FINANCIAL GROUP, INC. | 100% SHAREHOLDER | |
| CARPENTER, KIMBERLY KAY | MEMBER OF BOARD OF DIRECTORS, CHIEF EXECUTIVE OFFICER & PRESIDENT, CHIEF COMPLIANCE OFFICER, ANTI-MONEY LAUNDERING COMPLIANCE OF | 4266541 |
| FERGUSON, KRISTIN MARY | MEMBER OF BOARD OF DIRECTORS, VICE PRESIDENT, CHIEF FINANCIAL OFFICER, TREASURER, FINOP, & PRINCIPAL OPERATIONS OFFICER | 6895121 |
| MONTZ, RENEE DENISE | MEMBER OF BOARD OF DIRECTORS | 6014640 |
| OBRIEN, KERI SUE | SECRETARY | 6821352 |
Regulatory assets under management
| Total Number of Accounts | 76,075 |
| AUM (Assets Under Management) | $ 20,684,796,225 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 3 |
| Bond | 10 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/30/2023 |
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.
