George E. Stephenson
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 Everett Stephenson was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1969. George had worked at 6 firms and has passed the Series 63, Series 7TO, Series 79TO, SIE, PC, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 10, 2009 - November 8, 2023
GRIFFIN SECURITIES, INC.
August 24, 2004 - July 3, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 26, 1978 - July 3, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 15, 1975 - September 26, 1978
WHITE, WELD & CO. INCORPORATED
November 30, 1973 - January 15, 1975
G. H. WALKER, LAIRD INCORPORATED
September 10, 1973 - November 30, 1973
G H WALKER & COMPANY INC
October 29, 1969 - August 29, 1974
LAIRD INCORPORATED
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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationPC
Date: 9/7/1977
AMEX Put and Call ExamSeries 1
Date: 10/27/1969
Registered Representative ExaminationSeries 40
Date: 9/20/1971
Registered Principal ExaminationCurrent Firm
GRIFFIN SECURITIES, INC.
CRD#: 43229 / SEC#: , 8-50186
Contact information
FINRA licenses (3 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
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.
