George Everett Stephenson
Professional Summary
George Everett Stephenson was a registered financial advisor. George was a previously registered financial professional and started their career in finance 1969 - 2023. George had worked at 6 firms and has passed the Series 63, Series 7TO, Series 79TO, SIE, PC, Series 1 and Series 40 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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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
57 years registered in the securities industry
Current & Past Employments
Past
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Current Firm
GRIFFIN ADVISERS | GRIFFIN SECURITIES, INC.
Contact Information
Main Address
17 State Street, New York, NY 10004Mailing Address
17 State Street, New York, NY 10004Phone Number
(212) 509-9500Established
New York since 04/01/1997Firm Type
CorporationFiscal Year End
SeptemberFirm Size
SmallFINRA licenses (3 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examPC — AMEX Put and Call Exam
Passed Sep 1977Series 1 — Registered Representative Examination
Passed Oct 1969Series 40 — Registered Principal Examination
Passed Sep 1971Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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