George Rooks

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CRD#: 4344342

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 Rooks was a registered financial professional .

George is a previously registered financial professional and started their career in finance in 2005. George had worked at 2 firms .

Question & Answer

Are you a "fiduciary"?

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.

TRILLIUM ASSET MANAGEMENT - INVESTMENT RELATED - 111 ATLANTIC AVENUE BOSTON, MA 02110 - SRI INVESTING - DIRECTOR - START DATE: 12/1990 - 24 HOURS/ YEAR - DUTIES: AS A CORPORATE DIRECTOR.

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 5, 2010 - October 17, 2023

REYNDERS, MCVEIGH CAPITAL MANAGEMENT, LLC

RIA

CRD#: 137342

BOSTON, MA

Past

February 11, 2005 - May 20, 2010

HERITAGE CAPITAL MANAGEMENT INC

RIA

CRD#: 107845

BOSTON, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

REYNDERS, MCVEIGH CAPITAL MANAGEMENT, LLC

FRESH POND CAPITAL | REYNDERS, MCVEIGH CAPITAL MANAGEMENT, LLC | REYNDERS CAPITAL MANAGEMENT, LLC | FRESH POND CAPITAL, LLC (RELYING ADVISER)

CRD#: 137342 / SEC#: 801-64812

RIA

Registered Investment Advisory firm - (11/21/2005 Approved)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

Current Firm

REYNDERS, MCVEIGH CAPITAL MANAGEMENT, LLC

FRESH POND CAPITAL | REYNDERS, MCVEIGH CAPITAL MANAGEMENT, LLC | REYNDERS CAPITAL MANAGEMENT, LLC | FRESH POND CAPITAL, LLC (RELYING ADVISER)

CRD#: 137342 / SEC#: 801-64812

RIA

Registered Investment Advisory firm - (11/21/2005 Approved)

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Contact information

Main Address

10 Post Office Square Suite N1010, Boston, MA 02109

Mailing Address

Phone number

(617) 226-9999

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

REYNDERS, MCVEIGH CAPITAL MANAGEMENT, LLC ADV PART 2A BROCHURE (6/9/2025)

Regulatory assets under management

Total Number of Accounts	749
AUM (Assets Under Management)	$ 3,916,569,543

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/26/2025	Cover Page	Report
11/27/2024	Cover Page	Report
01/02/2024	Cover Page	Report
11/28/2022	Cover Page	Report

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.

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George Rooks

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

REYNDERS, MCVEIGH CAPITAL MANAGEMENT, LLC

HERITAGE CAPITAL MANAGEMENT INC

Primary Firm SEC Registration

REYNDERS, MCVEIGH CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Current Firm

REYNDERS, MCVEIGH CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

REYNDERS, MCVEIGH CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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