George R. Register

Atlanta, GA 30326

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CRD#: 373031

Professional summary

George Robert Register is a registered financial advisor currently at REGISTER FINANCIAL ADVISORS, LLC located in Atlanta, Georgia and REGISTER FINANCIAL ASSOCIATES, INC. located in Atlanta, Georgia.

George is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1968. George has worked at 12 firms and has passed the Series 66, Series 63, Series 99TO, Series 7TO, Series 79TO, SIE, Series 1, Series 14 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

1. REGISTER CAPITAL INVESTMENTS LLC, 3500 LENOX RD, ATLANTA, GA, YES INVESTMENT RELATED, NATURE OF BUSINESS: SMALL CAP PORTFOLIO STOCKS, CEO STARTED 2/1/18, 10 HOURS/MONTH DURING SECURITIES TRADING HOURS, DUTIES TO REVIEW/TRADE MANAGE ACCOUNT.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view George Robert Register's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

July 9, 2012 - Present

REGISTER FINANCIAL ADVISORS, LLC

Office #1: 3500 Lenox Road Suite 1700, Atlanta, GA 30326

RIA

CRD#: 143884

Atlanta, GA

Current

September 23, 1992 - Present

REGISTER FINANCIAL ASSOCIATES, INC.

Office #1: 3500 Lenox Road Suite 1700, Atlanta, GA 30326

CRD#: 30568

Atlanta, GA

Past

February 2, 2012 - December 31, 2013

REAGAN SECURITIES, INC.

CRD#: 156034

ATLANTA, GA

Past

October 19, 2007 - April 28, 2010

CERTUSSECURITIES, INC.

CRD#: 144051

ATLANTA, GA

Past

July 25, 2002 - September 30, 2003

FIRST VANTAGE INVESTMENTS LLC

CRD#: 34485

ALPHARETTA, GA

Past

December 5, 2001 - March 5, 2002

FIRST VANTAGE INVESTMENTS LLC

CRD#: 34485

ALPHARETTA, GA

Past

February 15, 2000 - December 5, 2001

FIRST VANTAGE INVESTMENTS LLC

CRD#: 34485

ALPHARETTA, GA

Past

November 4, 1999 - February 2, 2000

FIRST VANTAGE INVESTMENTS LLC

CRD#: 34485

ALPHARETTA, GA

Past

January 11, 1991 - October 2, 1992

CARTER, TERRY & COMPANY, INC.

CRD#: 16365

ATLANTA, GA

Past

March 28, 1989 - January 16, 1991

TRUIST SECURITIES, INC.

CRD#: 6271

ATLANTA, GA

Past

November 19, 1986 - April 6, 1989

MARSHALL & CO. SECURITIES, INC.

CRD#: 17942

Past

February 12, 1985 - December 8, 1986

BLACKSTOCK & CO., INC.

CRD#: 8469

Past

January 6, 1977 - December 26, 1984

J.P. MORGAN SECURITIES LLC

CRD#: 79

Past

September 1, 1971 - January 6, 1977

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

CRD#: 640

Past

March 26, 1968 - September 19, 1971

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

REGISTER FINANCIAL ADVISORS, LLC

REGISTER & AKERS ADVISORY SERVICES, LLC. | REGISTER FINANCIAL ADVISORS, LLC | REGISTER AND AKERS MANAGEMENT SERVICES, LLC

CRD#: 143884 / SEC#: 801-81190

RIA

Registered Investment Advisory firm - (4/17/2015 Approved)

Alabama

Registered Investment Advisory firm - (4/22/2015 Terminated)

Florida

Registered Investment Advisory firm - (4/17/2015 Terminated)

Georgia

Registered Investment Advisory firm - (6/25/2015 Terminated)

Louisiana

Registered Investment Advisory firm - (8/14/2015 Terminated)

North Carolina

Registered Investment Advisory firm - (4/17/2015 Terminated)

Texas

Registered Investment Advisory firm - (4/17/2015 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(2/28/1997)

California
(11/15/2000)

Colorado
(9/29/1992)

District of Columbia
(11/5/2009)

Florida
(11/2/1992)

Georgia
(9/23/1992)

IAR

Georgia
(7/9/2012)

Louisiana
(11/16/2000)

Maryland
(11/11/2004)

Massachusetts
(11/15/2000)

Mississippi
(11/17/2000)

Nevada
(2/24/2006)

New Jersey
(2/24/2006)

New York
(11/15/2000)

North Carolina
(10/22/1993)

North Dakota
(11/9/1992)

South Carolina
(11/18/1992)

IAR

Texas
(10/30/2025)

Virginia
(11/16/2000)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/19/2012

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/10/1979

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 3/22/1968

Registered Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 24

Date: 6/9/1992

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

REGISTER FINANCIAL ADVISORS, LLC

REGISTER & AKERS ADVISORY SERVICES, LLC. | REGISTER FINANCIAL ADVISORS, LLC | REGISTER AND AKERS MANAGEMENT SERVICES, LLC

CRD#: 143884 / SEC#: 801-81190

RIA

Registered Investment Advisory firm - (4/17/2015 Approved)

Alabama

Registered Investment Advisory firm - (4/22/2015 Terminated)

Florida

Registered Investment Advisory firm - (4/17/2015 Terminated)

Georgia

Registered Investment Advisory firm - (6/25/2015 Terminated)

Louisiana

Registered Investment Advisory firm - (8/14/2015 Terminated)

North Carolina

Registered Investment Advisory firm - (4/17/2015 Terminated)

Texas

Registered Investment Advisory firm - (4/17/2015 Terminated)

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Contact information

Main Address

3500 Lenox Road Suite 1700, Atlanta, GA 30326

Mailing Address

Phone number

(404) 364-2180

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (13 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP FEE BROCHURE (2/13/2025)

PART 2A (2/13/2025)

Regulatory assets under management

Total Number of Accounts	835
AUM (Assets Under Management)	$ 396,907,109

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.

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Advisor Monitoring

Firm Stability Insights

George R. Register

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view George Robert Register's CRS (Customer Relationship Summary).

Certified licenses

Experience

REGISTER FINANCIAL ASSOCIATES, INC.

REAGAN SECURITIES, INC.

CERTUSSECURITIES, INC.

FIRST VANTAGE INVESTMENTS LLC

FIRST VANTAGE INVESTMENTS LLC

FIRST VANTAGE INVESTMENTS LLC

FIRST VANTAGE INVESTMENTS LLC

CARTER, TERRY & COMPANY, INC.

TRUIST SECURITIES, INC.

MARSHALL & CO. SECURITIES, INC.

BLACKSTOCK & CO., INC.

J.P. MORGAN SECURITIES LLC

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

REGISTER FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/19/2012

Series 63

Date: 7/10/1979

Series 99TO

Date: 1/2/2023

Series 7TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 1

Date: 3/22/1968

Series 14

Date: 1/2/2023

Series 24

Date: 6/9/1992

FINRA

Current Firm

REGISTER FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

REGISTER FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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