George M. Hern
Professional summary
George Madison Hern, who also goes by George Madison Hern Mr., George Madison Hern, George Hern, George M Hern, is a registered financial professional currently at NYLIFE SECURITIES LLC located in Dallas, Texas.
George is registered as a RR (Registered Representative) and started their career in finance in 1999. George has worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view George Madison Hern's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 9, 2022 - Present
NYLIFE SECURITIES LLC
Office #1: 5005 Lyndon B. Johnson Fwy Suite 1800, Dallas, TX 75244August 26, 2020 - January 13, 2022
AVANTAX INVESTMENT SERVICES, INC.
July 15, 2014 - February 13, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 24, 2013 - May 21, 2014
NATIONAL FINANCIAL SERVICES LLC
July 24, 2013 - December 2, 2013
FIDELITY BROKERAGE SERVICES LLC
July 20, 2012 - July 2, 2013
NATIONAL FINANCIAL SERVICES LLC
November 2, 2011 - May 22, 2012
FIRST ALLIED SECURITIES, INC.
October 23, 2009 - October 7, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 10, 2004 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 11, 2001 - April 14, 2003
BANKOH INVESTMENT SERVICES, INC.
May 15, 2000 - June 25, 2001
WAMU INVESTMENTS, INC.
October 18, 1999 - May 18, 2000
SUNAMERICA SECURITIES, 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
(3/9/2022)
Exams
FINRA
Current Firm
NYLIFE SECURITIES LLC
CRD#: 5167 / SEC#: , 8-15517
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NYLIFE LLC. | SHAREHOLDER | |
| BAGTAS, ANGELA CHEN | ELECTED MANAGER | 8172856 |
| BOCCIO, JOHN MICHAEL | CHIEF EXECUTIVE OFFICER AND PRESIDENT | 4600977 |
| DUARTE, DEBORAH LYNN | ELECTED MANAGER | 6090278 |
| ENGELBRECHTSEN, TOM DAHL | CORPORATE VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 2908809 |
| FEINBERG, AMARYA NMN | ELECTED MANAGER | 8162482 |
| GARDNER, ROBERT MICHAEL | ELECTED MANAGER | 6160318 |
| HUANG, DYLAN WEI | ELECTED MANAGER AND CHAIRMAN | 6233208 |
| LOFTUS, PATRICIA ELIZABETH | CORPORATE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | 2156131 |
| SCHWARTZ, RACHEL SABRINA | VICE PRESIDENT AND ASSOCIATE GENERAL COUNSEL | 8170474 |
| TILLOTSON, SANDRA G | ELECTED MANAGER | 7617600 |
| ZAMAN, NABEED | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 6410914 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 7 |
Red Flags
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