Grant George
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.
Grant George, who also goes by Grant Anderson George, was a registered financial professional .
Grant is a previously registered financial professional and started their career in finance in 1998. Grant had worked at 6 firms and has passed the Series 63, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 7, 2012 - August 29, 2012
NOBLE CAPITAL MARKETS, INC.
August 30, 2010 - February 6, 2012
KAUFMAN BROS., L.P.
July 23, 2007 - January 22, 2009
KBC SECURITIES USA LLC
July 9, 2002 - December 18, 2003
KBC SECURITIES INC.
August 1, 2000 - February 1, 2002
INSTINET, LLC
August 24, 1998 - August 1, 2000
REUTERS C CORPORATION
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 55
Date: 9/17/2007
Limited Representative-Equity Trader ExamCurrent Firm
NOBLE CAPITAL MARKETS, INC.
CRD#: 15768 / SEC#: , 8-32706
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 9 |
| Arbitration | 11 |
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.
