NG
Nicholas E. George
INTERACTIVE BROKERS
Greenwich, CT 06830
Some features on this profile are disabled
CRD#: 4980587
NG
Professional summary
Nicholas E. George, who also goes by Nicholas E George, is a registered financial professional currently at INTERACTIVE BROKERS CORP. located in Greenwich, Connecticut.
Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2008. Nicholas has worked at 4 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Nicholas E George
Other business activities
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.
CRS (Client Relationship Summary) - BD
Click below to view Nicholas E. George's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
November 21, 2017 - Present
INTERACTIVE BROKERS CORP.
Office #1: Pickwick Plaza, Greenwich, CT 06830BD
CRD#: 117942
Greenwich, CT
Past
March 24, 2017 - October 27, 2017
INTL FCSTONE CREDIT TRADING LLC
BD
CRD#: 41025
NEW YORK, NY
Past
March 5, 2008 - June 3, 2013
JEFFERIES HIGH YIELD TRADING, LLC
BD
CRD#: 47363
STAMFORD, CT
Past
March 5, 2008 - May 4, 2016
JEFFERIES LLC
BD
CRD#: 2347
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(11/21/2017)
RR
Alaska(11/21/2017)
RR
Arizona(11/21/2017)
RR
Arkansas(11/21/2017)
RR
California(11/21/2017)
RR
Colorado(11/21/2017)
RR
Connecticut(11/21/2017)
RR
Delaware(11/21/2017)
RR
District of Columbia(11/21/2017)
RR
Florida(11/21/2017)
RR
Georgia(11/21/2017)
RR
Hawaii(11/21/2017)
RR
Idaho(11/21/2017)
RR
Illinois(11/21/2017)
RR
Indiana(11/21/2017)
RR
Iowa(11/21/2017)
RR
Kansas(11/21/2017)
RR
Kentucky(11/21/2017)
RR
Louisiana(11/21/2017)
RR
Maine(11/21/2017)
RR
Maryland(11/21/2017)
RR
Massachusetts(11/21/2017)
RR
Michigan(11/21/2017)
RR
Minnesota(11/21/2017)
RR
Mississippi(11/21/2017)
RR
Missouri(11/21/2017)
RR
Montana(11/21/2017)
RR
Nebraska(11/21/2017)
RR
Nevada(11/21/2017)
RR
New Hampshire(11/21/2017)
RR
New Jersey(11/21/2017)
RR
New Mexico(11/21/2017)
RR
New York(11/21/2017)
RR
North Carolina(11/22/2017)
RR
North Dakota(11/21/2017)
RR
Ohio(11/21/2017)
RR
Oklahoma(11/21/2017)
RR
Oregon(11/21/2017)
RR
Pennsylvania(11/21/2017)
RR
Puerto Rico(11/21/2017)
RR
Rhode Island(11/21/2017)
RR
South Carolina(11/21/2017)
RR
South Dakota(11/21/2017)
RR
Tennessee(11/21/2017)
RR
Texas(11/21/2017)
RR
Utah(11/21/2017)
RR
Vermont(11/21/2017)
RR
Virgin Islands(11/21/2017)
RR
Virginia(11/21/2017)
RR
Washington(11/21/2017)
RR
West Virginia(11/21/2017)
RR
Wisconsin(11/21/2017)
RR
Wyoming(11/21/2017)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
Current Firm
IB
INTERACTIVE BROKERS CORP.
CONIFER FUTURE TRADE, LLC | INTERACTIVE BROKERS CORP. | FUTURETRADE SECURITIES, LLC | FUTURETRADE SECURITIES CORP.
CRD#: 117942 / SEC#: , 8-53615
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
Pickwick Plaza, Greenwich, CT 06830
Mailing Address
Two Pickwick Plaza, Greenwich, CT 06830
Phone number
(203) 618-5700
Established
Delaware since 01/16/2009
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 3 |
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.
