Thomas W. George
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.
Thomas William George, who also goes by Tommy George, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2014. Thomas had worked at 4 firms and has passed the Series 66, SIE 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
February 7, 2020 - August 30, 2021
DELAP WEALTH ADVISORY, LLC
March 11, 2016 - February 12, 2018
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
March 10, 2015 - February 12, 2018
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 10, 2014 - October 20, 2014
CUSO FINANCIAL SERVICES, L.P.
Primary Firm SEC Registration
DELAP WEALTH ADVISORY, LLC
CRD#: 282312 / SEC#: 801-118278
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
DELAP WEALTH ADVISORY, LLC
CRD#: 282312 / SEC#: 801-118278
Contact information
SEC notice filing (9 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 619 |
| AUM (Assets Under Management) | $ 819,926,324 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/10/2025 | ||
| 02/24/2024 | ||
| 01/28/2023 |
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.
