George K. Mortimore
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 Knolton Mortimore was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1972. George had worked at 9 firms and has passed the SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2009 - August 14, 2015
GROVE POINT INVESTMENTS, LLC
January 2, 2009 - August 14, 2015
GROVE POINT INVESTMENTS, LLC
May 9, 2003 - January 2, 2009
PACIFIC WEST FINANCIAL CONSULTANTS INC
May 9, 2003 - December 31, 2008
PACIFIC WEST SECURITIES, INC.
November 30, 1998 - May 16, 2003
SENTRA SECURITIES CORPORATION
November 16, 1998 - May 16, 2003
SENTRA SECURITIES CORPORATION
February 23, 1995 - November 16, 1998
UNITED PACIFIC SECURITIES, INC.
December 21, 1992 - February 13, 1995
CONSOLIDATED INVESTMENT SERVICES, INC.
June 14, 1985 - December 1, 1992
SOARES FINANCIAL GROUP, INC.
January 5, 1984 - July 1, 1985
CONSOLIDATED INVESTMENT SERVICES, INC.
August 23, 1979 - November 15, 1983
SOUTHMARK FINANCIAL SERVICES, INC.
July 24, 1972 - December 1, 1978
SAGE FINANCIAL 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 1
Date: 7/17/1972
Registered Representative ExaminationCurrent Firm
GROVE POINT INVESTMENTS, LLC
CRD#: 1763 / SEC#: 801-undefined, 8-31165
Contact information
FINRA licenses (4 States and Territories)
Disclosures
| Regulatory Event | 17 |
| Arbitration | 3 |
| Bond | 1 |
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.
