George P. Fill
Professional summary
George Paul Fill is a registered financial professional currently at CAPE SECURITIES INC. located in Flourtown, Pennsylvania.
George is registered as a RR (Registered Representative) and started their career in finance in 2007. George has worked at 4 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view George Paul Fill's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 4, 2022 - Present
CAPE SECURITIES INC.
Office #1: 1407 Bethlehem Pike , Flourtown, PA 19031May 16, 2016 - April 5, 2022
THE ROCKWELL FINANCIAL GROUP, INC.
June 12, 2014 - May 4, 2016
CALDWELL INTERNATIONAL SECURITIES
September 5, 2007 - June 12, 2014
REID & RUDIGER LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/4/2022)
(6/9/2022)
(4/4/2022)
(4/28/2022)
(4/4/2022)
(4/4/2022)
(4/22/2022)
(4/28/2022)
(4/4/2022)
(4/4/2022)
(4/15/2022)
(4/4/2022)
(4/4/2022)
(4/4/2022)
(4/14/2022)
(4/11/2022)
(4/23/2022)
(4/28/2022)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
CAPE SECURITIES INC.
CRD#: 7072 / SEC#: , 8-20747
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 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.
