Ernest W. Mcgeorge
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.
Ernest Wilson Mcgeorge was a registered financial professional .
Ernest is a previously registered financial professional and started their career in finance in 1969. Ernest had worked at 6 firms and has passed the Series 63, Series 5, PC, 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
April 30, 1991 - November 9, 2001
FINANCIAL WEST GROUP
August 14, 1989 - April 30, 1991
FINANCIAL WEST INVESTMENT GROUP
July 6, 1977 - August 16, 1989
THOMSON MCKINNON SECURITIES INC.
March 29, 1974 - July 31, 1977
RAUSCHER PIERCE REFSNES, INC.
November 18, 1970 - March 29, 1974
RAUSCHER PIERCE SECURITIES CORPORATION
September 17, 1969 - November 2, 1973
RAUSCHER PIERCE SECURITIES CORPORATION
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 5
Date: 7/29/1982
Interest Rate Options ExaminationPC
Date: 11/22/1977
AMEX Put and Call ExamSeries 1
Date: 8/23/1969
Registered Representative ExaminationCurrent Firm
FINANCIAL WEST GROUP
CRD#: 16668 / SEC#: 801-57393, 8-34448
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 73 |
| Arbitration | 7 |
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.
