George A. Zimmermann
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 Alan Zimmermann, who also goes by G Alan Zimmerman, was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1979. George had worked at 6 firms and has passed the Series 63, SIE, Series 86, Series 87, Series 7, Series 41 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 22, 2015 - July 25, 2025
GORDON, HASKETT CAPITAL CORPORATION
December 1, 2009 - December 4, 2013
MACQUARIE CAPITAL (USA) INC.
October 25, 2006 - December 1, 2009
FOX-PITT KELTON COCHRAN CARONIA WALLER (USA) LLC
August 14, 2000 - April 30, 2004
FOX-PITT KELTON COCHRAN CARONIA WALLER (USA) LLC
January 31, 1996 - May 2, 2000
MORGAN STANLEY & CO. LLC
September 11, 1992 - February 2, 1996
PRUDENTIAL EQUITY GROUP, LLC
October 30, 1979 - October 19, 1984
CONNING & COMPANY
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
Series 41
Date: 6/19/1982
NYSE Allied Member ExaminationCurrent Firm
GORDON, HASKETT CAPITAL CORPORATION
CRD#: 7976 / SEC#: , 8-33944
Contact information
FINRA licenses (1 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.
