George R. Cupples
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 Randy Cupples was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1999. George had worked at 3 firms and has passed the Series 63 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
October 29, 2004 - April 3, 2009
KOVACK SECURITIES INC.
November 22, 1999 - May 28, 2004
EMPIRE FINANCIAL GROUP, INC.
November 2, 1999 - January 6, 2004
NORTH AMERICAN CLEARING, 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
Current Firm
KOVACK SECURITIES INC.
CRD#: 44848 / SEC#: , 8-50847
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 5 |
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.
