George D. Auerbach
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 Donald Auerbach was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 2004. George had worked at 5 firms and has passed the Series 66, SIE, Series 86, Series 87 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 8, 2014 - April 11, 2016
CREDIT SUISSE SECURITIES (USA) LLC
April 27, 2009 - July 23, 2014
INTERNATIONAL STRATEGY & INVESTMENT GROUP LLC
May 25, 2006 - April 21, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 25, 2006 - April 21, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 19, 2005 - May 2, 2006
PRUDENTIAL EQUITY GROUP, LLC
December 13, 2004 - May 26, 2005
A. G. EDWARDS & SONS, INC.
November 25, 2004 - May 26, 2005
A. G. EDWARDS & SONS, INC.
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
Current Firm
CREDIT SUISSE SECURITIES (USA) LLC
CRD#: 816 / SEC#: 801-56264, 8-422
Contact information
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 20 |
| AUM (Assets Under Management) | $ 805,275,346 |
Disclosures
| Regulatory Event | 322 |
| Civil Event | 8 |
| Arbitration | 10 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/26/2023 | ||
| 01/25/2023 |
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.
