George W. Carris
Professional summary
George William Carris MR. 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 5 firms, which includes JOHN CARRIS INVESTMENTS LLC, BROCKINGTON SECURITIES INC., THINKEQUITY LLC, FAIRCHILD FINANCIAL GROUP INC., LEGEND MERCHANT GROUP INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 19, 2009 - June 1, 2014
JOHN CARRIS INVESTMENTS LLC
August 10, 2007 - October 30, 2008
BROCKINGTON SECURITIES, INC.
November 4, 1999 - August 8, 2007
THINKEQUITY LLC
August 7, 1998 - November 15, 1999
FAIRCHILD FINANCIAL GROUP, INC.
July 22, 1998 - August 7, 1998
LEGEND MERCHANT GROUP, INC.
State Registrations and Notice Filings
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Exams
Current Firm
JOHN CARRIS INVESTMENTS LLC
CRD#: 145767 / SEC#: , 8-67751
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INVICTUS CAPITAL INC | HOLDING COMPANY | |
| CARRIS, GEORGE WILLIAM MR. | CEO, COO, CCO | 3079577 |
| CLARK, MICHAEL KEVIN | MANAGING DIRECTOR | |
| NELSON, STEVEN | OWNER |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 2 |
Red Flags
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