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George P. Farley

Some features on this profile are disabled
CRD#: 3253751
GF

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 Patrick Farley was a registered financial professional .

George is a previously registered financial professional and started their career in finance in 2001. George had worked at 2 firms and has passed the Series 63, SIE, Series 82 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 9, 2023 - April 25, 2023

MERIT SECURITIES, LLC

BD
CRD#: 165470
GIG HARBOR, WA
Past

January 13, 2016 - December 15, 2022

MERIT SECURITIES, LLC

BD
CRD#: 165470
GIG HARBOR, WA
Past

August 3, 2001 - October 15, 2001

PRICEWATERHOUSECOOOPERS CORPORATE FINANCE LLC

BD
CRD#: 41461
CHICAGO, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 9/12/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 82
Date: 1/13/2016
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
Series 7
Date: 8/2/2001
General Securities Representative Examination

Current Firm

MS
MERIT SECURITIES, LLC
CARROLLTON CAPITAL PARTNERS, LLC | OFFERBOARD SECURITIES | MERIT SECURITIES, LLC | MERIT HARBOR CAPITAL, LLC | MERIT HARBOR CAPITAL | JD MERIT SECURITIES

CRD#: 165470 / SEC#: , 8-69162

BD
Pending Withdrawal by SEC on 09/18/2025
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Contact information

Main Address
Mailing Address
Phone number
Established
Connecticut since 07/13/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
OB HOLDINGS LLCPARENT COMPANY
DICKENS, JONATHAN CRAIGCEO6231087
HOPKINS, THOMAS JOHNFINOP1835087
PRICE, JOEL MATTHEWCCO4577870

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.

Company Information

MERIT SECURITIES, LLC

CRD#: 165470

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