George Mouroulis
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 Mouroulis, who also goes by George D Mouroulis, was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1999. George had worked at 10 firms and has passed the Series 66, 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
February 4, 2013 - April 16, 2013
TD AMERITRADE, INC.
February 4, 2013 - April 16, 2013
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
January 9, 2013 - April 16, 2013
TD AMERITRADE, INC.
February 19, 2010 - December 15, 2011
AEGIS CAPITAL CORP.
January 12, 2007 - March 2, 2010
GUNNALLEN FINANCIAL, INC
June 26, 2003 - February 8, 2007
JOSEPH STEVENS & CO., INC.
April 16, 2002 - May 1, 2003
EKN FINANCIAL SERVICES INC.
March 19, 2001 - April 22, 2002
JOSEPH STEVENS & CO., INC.
January 25, 2001 - February 22, 2001
MERCER PARTNERS INCORPORATED
February 4, 2000 - January 16, 2001
HAPOALIM SECURITIES USA, INC.
September 1, 1999 - February 2, 2000
MILLENNIUM SECURITIES CORP.
February 10, 1999 - April 21, 1999
ROYCE INVESTMENT GROUP, INC.
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: 4/5/2002
Limited Representative-Equity Trader ExamCurrent Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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