George Stratis
Professional summary
George Stratis 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 3 firms, which includes TD SECURITIES (USA) LLC, CREDIT SUISSE SECURITIES (USA) LLC, BMO NESBITT BURNS SECURITIES LTD..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 20, 2000 - November 29, 2024
TD SECURITIES (USA) LLC
January 29, 2000 - August 28, 2000
CREDIT SUISSE SECURITIES (USA) LLC
December 3, 1998 - November 30, 1999
BMO NESBITT BURNS SECURITIES LTD.
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
Series 37
Date: 11/23/1998
Canada Module of the General Securities Registered Representative (With Options Questions)Current Firm
TD SECURITIES (USA) LLC
CRD#: 18476 / SEC#: , 8-36747
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TORONTO DOMINION HOLDINGS (U.S.A.), INC. | PARENT | |
| BROADBERY, MICHAEL | CHIEF COMPLIANCE OFFICER | 6947899 |
| GIBSON, GLENN | CHIEF EXECUTIVE OFFICER | 5659024 |
| JENKINS, CHRISTINE J | FINANCIAL & OPERATIONS PRINCIPAL | 4911933 |
| ORTIZ, JORGE LUIS | CHIEF FINANCIAL OFFICER | 2725922 |
| PETROU, CHRISTINA A | CHIEF OPERATING OFFICER | 4007468 |
Disclosures
| Regulatory Event | 20 |
| Criminal | 1 |
Red Flags
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