George W. Moffitt
Professional summary
George Wilber Moffitt JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
George is a previously registered financial professional and started their career in finance in 1970. Prior to being barred, George had worked at 5 firms, which includes FIRST LIBERTY INVESTMENT GROUP INC., FIRST OF PHILADELPHIA INVESTMENT GROUP INC., D. H. WALLACH INC., HOPPER SOLIDAY & CO. INC., JOHNSON KEEN & CO INC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 8, 1993 - September 12, 2000
FIRST LIBERTY INVESTMENT GROUP, INC.
May 13, 1993 - December 15, 1993
FIRST OF PHILADELPHIA INVESTMENT GROUP, INC.
September 28, 1984 - May 27, 1993
FIRST LIBERTY INVESTMENT GROUP, INC.
October 17, 1983 - July 10, 1984
D. H. WALLACH, INC.
November 16, 1971 - June 30, 1983
HOPPER SOLIDAY & CO., INC.
November 6, 1970 - November 9, 1972
JOHNSON KEEN & CO 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 1
Date: 6/21/1961
Registered Representative ExaminationCurrent Firm
FIRST LIBERTY INVESTMENT GROUP, INC.
CRD#: 3536 / SEC#: , 8-6824
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST COMMONWEALTH INV. GRP | OWNER | |
| EMINENTE, CHRISTIAN LUCIANO | EXEC. VP | 2109308 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 10 |
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.
