George B. Whitehead
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 Burns Whitehead was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1973. George had worked at 6 firms and has passed the Series 63, SIE, Series 62, Series 5, PC, Series 1, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 21, 2009 - June 27, 2016
COMPASS SECURITIES CORPORATION
December 1, 2005 - March 14, 2006
STIFEL, NICOLAUS & COMPANY, INCORPORATED
August 2, 1990 - December 1, 2005
LEGG MASON WOOD WALKER, INCORPORATED
May 14, 1985 - August 7, 1990
PERSHING LLC
January 31, 1980 - May 24, 1985
UBS FINANCIAL SERVICES INC.
November 13, 1973 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS 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 62
Date: 10/20/2009
Corporate Securities Limited Representative ExaminationSeries 5
Date: 10/19/1981
Interest Rate Options ExaminationPC
Date: 6/2/1977
AMEX Put and Call ExamSeries 1
Date: 11/7/1973
Registered Representative ExaminationCurrent Firm
COMPASS SECURITIES CORPORATION
CRD#: 16168 / SEC#: , 8-33438
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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