George E. Peralta
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 Edward Peralta, who also goes by George E Peralta, was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1973. George had worked at 8 firms and has passed the Series 63, 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
November 18, 2009 - June 30, 2016
IMS SECURITIES, INC.
September 12, 2001 - November 18, 2009
CULLUM & BURKS SECURITIES, INC.
January 25, 2001 - September 13, 2001
RUSHMORE SECURITIES CORPORATION
July 22, 1998 - March 9, 2001
NORTHSTAR SECURITIES, INC.
April 27, 1988 - December 9, 1998
DOMINION CAPITAL CORPORATION
January 7, 1987 - December 31, 1989
VOYA FINANCIAL ADVISORS, INC.
February 15, 1973 - January 8, 1987
SIGNATOR INVESTORS, INC.
February 15, 1973 - January 12, 1987
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
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: 2/10/1973
Registered Representative ExaminationCurrent Firm
IMS SECURITIES, INC.
CRD#: 35567 / SEC#: , 8-46722
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 6 |
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.
