George G. Roberts
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 Gordon Roberts, who also goes by George Gordon Roberts Jr, was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1971. George had worked at 8 firms and has passed the Series 63, SIE, 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
June 18, 2013 - April 15, 2015
CORECAP INVESTMENTS, LLC
March 9, 2009 - July 5, 2011
PFS INVESTMENTS INC.
April 4, 2005 - May 16, 2007
BROAD STREET SECURITIES, INC.
July 10, 1998 - November 16, 2004
QUESTAR CAPITAL CORPORATION
August 6, 1997 - August 4, 1998
FSC SECURITIES CORPORATION
January 10, 1990 - August 6, 1997
MARINER FINANCIAL SERVICES, INC.
January 24, 1980 - December 31, 1989
MUTUAL SERVICE CORPORATION
December 7, 1971 - February 28, 1980
LINSCO FINANCIAL GROUP, 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: 12/2/1971
Registered Representative ExaminationCurrent Firm
CORECAP INVESTMENTS, LLC
CRD#: 37068 / SEC#: , 8-47783
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 8 |
| Arbitration | 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.
