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GS

George Erwin Sledge Jr

CRD# 426295·Registered 1967 - 1994
Previously Registered: Being a previously registered professional could mean that George 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.

Professional Summary

George Erwin Sledge JR was a registered financial advisor. George was a previously registered financial professional and started their career in finance 1967 - 1994. George had worked at 13 firms and has passed the Series 1, Series 24 and Series 4 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

68 years in the financial services industry

Current & Past Employments

POST OAK CAPITAL, INC.·CRD# 21672
BD
June 22, 1993 - December 21, 1994
RETIREMENT INVESTMENT GROUP·CRD# 7421
BD
Houston, TX
April 2, 1992 - December 22, 1992
RETIREMENT INVESTMENT GROUP·CRD# 7421
BD
Houston, TX
July 28, 1988 - November 8, 1989
TAYLOR LOEB & CO., INC.·CRD# 10682
BD
November 19, 1985 - July 11, 1986
SUNSTRAND SECURITIES CORPORATION, INC.·CRD# 8374
BD
August 1, 1985 - September 19, 1985
RAUSCHER PIERCE REFSNES, INC.·CRD# 6663
BD
October 12, 1984 - July 5, 1985
FIRST HOUSTONIAN SECURITIES, INC.·CRD# 7762
BD
March 27, 1984 - October 3, 1984
CAPITAL QUEST SECURITIES, INC.·CRD# 10786
BD
December 14, 1982 - October 3, 1984
FIDELITY BROKERAGE SERVICES LLC·CRD# 7784
BD
May 20, 1982 - January 17, 1983
PERSHING LLC·CRD# 7560
BD
March 10, 1978 - January 18, 1982
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION·CRD# 7554
BD
February 24, 1978 - March 10, 1978
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION·CRD# 6458
BD
February 23, 1977 - February 24, 1978
RAUSCHER PIERCE REFSNES, INC.·CRD# 6663
BD
March 29, 1974 - March 1, 1977
DATAQUEST, INCORPORATED·CRD# 6493
BD
June 26, 1973 - January 21, 1974
FIRST OF TEXAS, INCORPORATED·CRD# 312
BD
July 13, 1967 - March 29, 1974

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Current Firm

PO
POST OAK CAPITAL, INC.

GORDON FINANCIAL | POST OAK CAPITAL, INC. | LLOYD GORDON SECURITY INVESTMENTS, INC.

CRD#: 21672 / SEC#: 8-39137
BD
Terminated by SEC on 02/05/1995

Contact Information

Established

Texas since 05/03/1988

Firm Type

Corporation

Fiscal Year End

May

Documents

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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.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 1 — Registered Representative Examination

Passed May 1958

Series 24 — General Securities Principal Examination

Passed Aug 1994About the Series 24 exam

Series 4 — Registered Options Principal Examination

Passed Jan 1981About the Series 4 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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