George H. Stevens
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 Henry Stevens was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1971. George had worked at 5 firms and has passed the Series 63, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 19, 1983 - June 10, 1985
AETNA LIFE INSURANCE AND ANNUITY COMPANY
October 14, 1982 - December 20, 1989
AMERICAN UNITED LIFE INSURANCE COMPANY
September 28, 1982 - November 30, 2009
CADARET, GRANT & CO., INC.
April 13, 1982 - December 9, 1982
INDEPENDENT FINANCIAL PLANNERS CORPORATION
November 16, 1971 - May 4, 1982
AMERICAN GENERAL EQUITY SERVICES CORPORATION
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 1
Date: 11/10/1971
Registered Representative ExaminationCurrent Firm
AETNA LIFE INSURANCE AND ANNUITY COMPANY
CRD#: 13256 / SEC#: , 8-15409
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AETNA RETIREMENT HOLDINGS, INC. | PARENT | |
| BAKER, ALLAN | DIRECTOR AND SENIOR VICE PRESIDENT | 850724 |
| KIM, JOHN YONG | SR. VICE PRESIDENT/CHIEF INVESTMENT OFFICER | 2010539 |
| MCINERNEY, THOMAS JOSEPH | PRESIDENT AND DIRECTOR | 2400561 |
| MURPHY, BRIAN JOHN | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2825925 |
| SMITH, CATHERINE HALE | DIRECTOR, SENIOR VP, CHIEF FINANCIAL OFFICER | |
| WICKMAN, KIRK PETER | SENIOR VP, GENERAL COUNSEL, CORP. SECRETARY | 2836950 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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