George K. Hynes
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 K Hynes, who also goes by George Kevin Hynes, was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 2001. George had worked at 11 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6 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
December 1, 2016 - April 5, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 1, 2016 - April 5, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 4, 2015 - November 4, 2016
TD AMERITRADE, INC.
August 4, 2015 - November 4, 2016
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
July 8, 2015 - November 4, 2016
TD AMERITRADE, INC.
March 4, 2014 - July 9, 2015
HARRISDIRECT LLC
February 25, 2014 - July 9, 2015
E*TRADE SECURITIES LLC
January 17, 2012 - February 3, 2014
VOYA FINANCIAL ADVISORS, INC.
December 5, 2011 - February 3, 2014
VOYA FINANCIAL ADVISORS, INC.
January 31, 2011 - November 17, 2011
COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC
January 31, 2011 - November 17, 2011
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
May 28, 2004 - August 23, 2010
STRATEGIC ADVISERS LLC
January 5, 2004 - August 18, 2010
FIDELITY BROKERAGE SERVICES LLC
July 6, 2001 - November 17, 2003
VOYA RETIREMENT ADVISORS, LLC
February 5, 2001 - November 17, 2003
VOYA RETIREMENT ADVISORS, LLC
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
