George S. Middleton
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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.
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 ...
Do you have an area of expertise or specialization?
Investment Advice with Ongoing...
Retirement Planning & Distribu...
Are you a "fiduciary"?
No
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.
Name of Business: Clark College Continuing Education Program;
Business is NOT investment-related.;
Address: 1933 Fort Vancouver Way, Vancouver, WA 98663;
Nature of Business: Educational Position: Part Time Instructor;
Start Date: January 2014;
Approximate Number of Hours: 6/quarter;
Number of Hours During Securities Trading Hours: None;
Duties: George Middleton teaches personal finance classes for the Continuing Education Program at Clark College from time to time. George may receive a stipend for this service, per Washington State law.
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®
NoneExperience
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 | 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)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.
Exams
State Security Law Exam
General Industry/Product Exam
Current Firm
MIDDLETON & COMPANY
MIDDLETON & CO | 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
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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
4
SEC notice filing (3 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 357 |
| AUM (Assets Under Management) | $ 109,991,483 |
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.
