George Somkin
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 Somkin was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1969. George had worked at 11 firms and has passed the Series 63, PC, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 5, 2004 - January 23, 2008
WESTROCK ADVISORS, INC.
January 2, 2002 - December 31, 2003
OPPENHEIMER & CO. INC.
October 25, 1991 - January 2, 2002
JOSEPHTHAL & CO., INC.
December 16, 1988 - October 23, 1991
JJC SECURITIES CO., INC.
April 19, 1979 - December 3, 1988
EVANS & CO., INC.
December 15, 1975 - April 25, 1977
PHILIPS, APPEL & WALDEN, INC.
October 14, 1975 - June 7, 1976
JAS. H. OLIPHANT & CO., INC.
April 24, 1975 - November 14, 1975
J. H. KERN & CO.
November 9, 1972 - May 7, 1974
FERKAUF ROGGEN INCORPORATED
January 25, 1972 - November 10, 1972
POHS, LEVY & CO.
November 3, 1969 - May 15, 1972
M G M SECURITIES 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: 8/21/1978
AMEX Put and Call ExamSeries 1
Date: 6/26/1967
Registered Representative ExaminationSeries 00
Date: 10/26/1969
General Securities Principal ExaminationCurrent Firm
WESTROCK ADVISORS, INC.
CRD#: 114338 / SEC#: , 8-53419
Contact information
Documents
Disclosures
| Regulatory Event | 13 |
| Arbitration | 9 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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