Vernon I. 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.
Vernon Ian George was a registered financial professional .
Vernon is a previously registered financial professional and started their career in finance in 1998. Vernon had worked at 7 firms and has passed the Series 65, Series 63, SIE 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
September 28, 2011 - February 2, 2015
MSI FINANCIAL SERVICES, INC.
September 27, 2010 - July 5, 2011
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
June 6, 2007 - April 13, 2009
CITIGROUP GLOBAL MARKETS INC.
May 21, 2007 - June 21, 2007
CITICORP INVESTMENT SERVICES
April 17, 2003 - January 16, 2007
WELLS FARGO CLEARING SERVICES, LLC
April 17, 2003 - January 16, 2007
WELLS FARGO CLEARING SERVICES, LLC
September 20, 2002 - January 17, 2003
FINANCIAL CONSULTANT GROUP, LLC
September 20, 2002 - January 17, 2003
FINANCIAL CONSULTANT GROUP, LLC
October 1, 1998 - September 25, 2002
PRUDENTIAL EQUITY GROUP, LLC
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
Current Firm
MSI FINANCIAL SERVICES, INC.
CRD#: 14251 / SEC#: 801-22306, 8-30447
Contact information
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY | DIRECT OWNER | |
| BENSON, WENDY ANN | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 2140720 |
| CHICARES, ELIZABETH WARD | DIRECTOR | 2194754 |
| FANNING, MICHAEL ROBERT | DIRECTOR | 1620072 |
| FRANCELLA, AMY | SECRETARY AND CHIEF LEGAL OFFICER | 1881552 |
| FREDERICK, CHRISTINE SPENCER | CHIEF COMPLIANCE OFFICER | 2641636 |
| HOLTZER, DAVID MICHAEL | PRESIDENT | 4345697 |
Disclosures
| Regulatory Event | 41 |
| Civil Event | 1 |
| Arbitration | 13 |
| Bond | 2 |
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.
