George S. Middleton

Some features on this profile are disabled

CRD#: 3090714

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

George S Middleton was a registered financial professional .

George is a previously registered financial professional and started their career in finance in 1998. George had worked at 2 firms and has passed the Series 65 and Series 7 exams.

Core Areas of Focus

Investment Advice with Ongoing Management

Retirement Planning & Distribution Rules

Biography

George has extensive experience in… lots of things. He comes alive when he gets to explain investment fundamentals, and he loves telling stories about his previous roles as NASA intern, computer programmer, company controller, and home builder. He’s also just an absolute pleasure to work with.

What you should really know about George:

He’s always on the lookout to join in on a tennis game around town. He’s also a seasoned Viking cruise passenger, and enjoys the smaller things that come with travel, like helping a 10-year old boy practice his English on the street in Vietnam.

Question & Answer

What are your service offerings?

Sabbatical Planning

Ideal for households with esta...

Financial plan to see how your...

Clarity on strategies and acti...

Savings & investment account s...

Asset allocation across accoun...

Estate planning and insurance ...

Quarterly check-ins focused on...

Tools and resources to meet yo...

Investment Advisory Service

Ideal for households with $250...

Financial plan to see your who...

Management of investment accou...

Implementation of tax-efficien...

Coordination with other decisi...

Recommendations on employer re...

Pension and Social Security an...

Thinking through big financial...

Annual meeting to review your ...

Are you a "fiduciary"?

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 28, 2016 - March 8, 2024

MIDDLETON & COMPANY

RIA

CRD#: 284996

VANCOUVER, WA

Past

August 4, 1998 - April 5, 2017

LIMOGES INVESTMENT MANAGEMENT PC

RIA

CRD#: 117328

VANCOUVER, WA

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".

MIDDLETON & COMPANY

MIDDLETON & CO | TOWYN | MIDDLETON & COMPANY

CRD#: 284996 / SEC#: 801-131399

RIA

Registered Investment Advisory firm - (10/31/2024 Approved)

Oregon

Registered Investment Advisory firm - (11/14/2024 Terminated)

Texas

Registered Investment Advisory firm - (11/1/2024 Terminated)

Washington

Registered Investment Advisory firm - (12/10/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/1/1998

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 7/28/1998

General Securities Representative Examination

Current Firm

MIDDLETON & COMPANY

MIDDLETON & CO | TOWYN | MIDDLETON & COMPANY

CRD#: 284996 / SEC#: 801-131399

RIA

Registered Investment Advisory firm - (10/31/2024 Approved)

Oregon

Registered Investment Advisory firm - (11/14/2024 Terminated)

Texas

Registered Investment Advisory firm - (11/1/2024 Terminated)

Washington

Registered Investment Advisory firm - (12/10/2024 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1111 Main Street, Suite 630, Vancouver, WA 98660

Mailing Address

Phone number

(360) 524-3517

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

M&C ADV PART 2A (1/23/2026)

TOWYN ADV PART 2A (1/23/2026)

Regulatory assets under management

Total Number of Accounts	388
AUM (Assets Under Management)	$ 131,316,850

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.

Contact information

(xxx) xxx-xxxx

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Why AdvisorCheck

We're Here To Help

Advisor Monitoring

Firm Stability Insights

George S. Middleton

Professional summary

Core Areas of Focus

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MIDDLETON & COMPANY

LIMOGES INVESTMENT MANAGEMENT PC

Primary Firm SEC Registration

MIDDLETON & COMPANY

State Registrations and Notice Filings

Exams

Series 65

Date: 7/1/1998

Series 7

Date: 7/28/1998

Current Firm

MIDDLETON & COMPANY

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MIDDLETON & COMPANY

TRUST BUT VERIFY

Contact information

Similar Advisors