Geoffrey L. London
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.
Geoffrey Llewellyn London was a registered financial professional .
Geoffrey is a previously registered financial professional and started their career in finance in 1972. Geoffrey had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 22, 2014 - May 31, 2023
NEW ERA FINANCIAL ADVISORS, INC.
May 10, 2013 - August 31, 2022
J.W. COLE FINANCIAL, INC.
September 1, 2009 - May 10, 2013
FINANCIAL ADVISERS OF AMERICA, LLC
January 2, 2001 - August 31, 2009
MUTUAL SERVICE CORPORATION
January 4, 1999 - January 11, 2001
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 15, 1990 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
November 19, 1989 - February 28, 1990
OSAIC WEALTH, INC.
September 17, 1987 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
September 21, 1984 - October 23, 1987
E. F. HUTTON & COMPANY INC
July 8, 1975 - March 24, 1979
THE MINNEAPOLIS COMPANY, INC.
October 18, 1972 - July 23, 1975
DAIN, KALMAN & QUAIL, INCORPORATED
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 1
Date: 10/5/1972
Registered Representative ExaminationCurrent Firm
NEW ERA FINANCIAL ADVISORS, INC.
CRD#: 110603 / SEC#: 801-26809
Contact information
Regulatory assets under management
| Total Number of Accounts | 2,762 |
| AUM (Assets Under Management) | $ 964,395,636 |
Red Flags
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