George B. San Miguel
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 Bryan San Miguel, who also goes by George B San Miguel, was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 2011. George had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 15, 2022 - September 18, 2023
MAINSAIL FINANCIAL GROUP
July 20, 2021 - April 1, 2022
COMMONWEALTH FINANCIAL NETWORK
July 20, 2021 - April 1, 2022
COMMONWEALTH FINANCIAL NETWORK
August 14, 2020 - July 13, 2021
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
August 14, 2020 - July 13, 2021
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
March 21, 2018 - March 16, 2020
CHARLES SCHWAB & CO., INC.
March 21, 2018 - March 16, 2020
CHARLES SCHWAB & CO., INC.
November 19, 2012 - March 12, 2018
STRATEGIC ADVISERS LLC
November 14, 2012 - March 8, 2018
FIDELITY BROKERAGE SERVICES LLC
October 1, 2012 - October 31, 2012
J.P. MORGAN SECURITIES LLC
October 1, 2012 - October 31, 2012
J.P. MORGAN SECURITIES LLC
April 27, 2012 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
May 9, 2011 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
Primary Firm SEC Registration
MAINSAIL FINANCIAL GROUP
CRD#: 317970 / SEC#: 801-123307
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
MAINSAIL FINANCIAL GROUP
CRD#: 317970 / SEC#: 801-123307
Contact information
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 892 |
| AUM (Assets Under Management) | $ 268,191,466 |
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.
