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GS

George S. Smile

Some features on this profile are disabled
CRD#: 426825
GS

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 Samuel Smile was a registered financial professional .

George is a previously registered financial professional and started their career in finance in 1960. George had worked at 12 firms and has passed the Series 63 and PC exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

October 28, 2009 - August 30, 2011

LAIDLAW & COMPANY (UK) LTD.

BD
CRD#: 119037
ROSLYN HEIGHTS, NY
Past

May 5, 2005 - November 4, 2009

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
ROSALYN HEIGHTS, NY
Past

April 27, 2004 - April 20, 2005

S.W. BACH & COMPANY

BD
CRD#: 43522
PORT WASHINGTON, NY
Past

November 21, 2002 - April 27, 2004

HARRISON SECURITIES, INC.

BD
CRD#: 14103
PORT WASHINGTON, NY
Past

November 20, 2000 - December 9, 2002

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

June 4, 1979 - October 31, 2000

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

January 18, 1978 - May 23, 1979

LOEB PARTNERS

BD
CRD#: 7534
Past

January 4, 1977 - January 18, 1978

LOEB RHOADES & CO. INC.

BD
CRD#: 7502
Past

October 6, 1975 - January 4, 1977

LOEB, RHOADES & CO. INC.

BD
CRD#: 525
Past

July 2, 1974 - November 10, 1975

EDWARDS & HANLY

BD
CRD#: 6554
Past

March 5, 1974 - July 15, 1974

JSC SECURITIES, INC.

BD
CRD#: 475
Past

April 15, 1960 - April 16, 1974

DUPONT WALSTON, INCORPORATED

BD
CRD#: 870

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 9/20/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
PC
Date: 9/7/1977
AMEX Put and Call Exam

Current Firm

L&
LAIDLAW & COMPANY (UK) LTD.
LAIDLAW & COMPANY (UK) LTD. | SANDS BROTHERS INTERNATIONAL LTD.

CRD#: 119037 / SEC#: , 8-53731

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
16 Berkeley St. Suite 7.09, London, W1J 8DZ
Mailing Address
521 5th Avenue 12th Fl, New York, NY 10175
Phone number
(212) 697-5200
Established
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
LAIDLAW HOLDINGS LTDOWNER
BELLO, JAMES ALANCCO2844016
DAPONTE, ARTHUR JARRODFINOP7801577
EITNER, MATTHEW DCHIEF EXECUTIVE OFFICER3267261
REGAN, HUGHDIRECTOR - INVESTMENT BANKING1254114
SILVERMAN, PETER HOWARDSEO/BRANCH MANAGER1239510

Disclosures

Regulatory Event10
Arbitration4

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

LAIDLAW & COMPANY (UK) LTD.

CRD#: 119037

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