George C. Schwelling
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 Constance Schwelling was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1974. George had worked at 14 firms and has passed the Series 66, Series 65, Series 63, PC, Series 000, 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
March 23, 2001 - September 20, 2002
LLOYD, SCOTT & VALENTI, LTD.
November 21, 2000 - March 26, 2001
CONTINENTAL BROKER-DEALER CORP.
February 18, 2000 - February 22, 2000
STERLING FINANCIAL INVESTMENT GROUP, INC.
February 18, 2000 - November 17, 2000
INSIGHT SECURITIES, INC.
July 11, 1999 - December 20, 1999
GUNNALLEN FINANCIAL, INC
October 21, 1996 - July 27, 1999
STRATEGIC ASSETS INC.
January 18, 1995 - October 8, 1996
AEGON USA SECURITIES INC.
July 31, 1993 - December 13, 1994
CITIGROUP GLOBAL MARKETS INC.
October 15, 1980 - July 31, 1993
LEHMAN BROTHERS INC.
March 3, 1978 - October 1, 1980
E. F. HUTTON & COMPANY INC
January 26, 1977 - April 2, 1978
WHITE, WELD & CO. INCORPORATED
April 28, 1976 - January 23, 1977
MOSELEY, HALLGARTEN & ESTABROOK INC
December 19, 1975 - April 28, 1976
MOSELEY, HALLGARTEN & ESTABROOK INC.
August 26, 1974 - February 9, 1976
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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
PC
Date: 1/29/1992
AMEX Put and Call ExamSeries 000
Date: 8/21/1974
General Securities Principal ExaminationSeries 1
Date: 8/21/1974
Registered Representative ExaminationCurrent Firm
LLOYD, SCOTT & VALENTI, LTD.
CRD#: 23640 / SEC#: , 8-40615
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
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.
