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GA

George D. Ashby

WAVELAND CAPITAL PARTNERS LLC
Irvine, CA 92612
Some features on this profile are disabled
CRD#: 7199193
GA

Professional summary

George Dean Ashby, who also goes by George Ashby, is a registered financial professional currently at WAVELAND CAPITAL PARTNERS LLC located in Irvine, California.

George is registered as a RR (Registered Representative) and started their career in finance in 2020. George has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

George Ashby

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view George Dean Ashby's CRS (Customer Relationship Summary).
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®
None

Experience

Current

October 24, 2023 - Present

WAVELAND CAPITAL PARTNERS LLC

Office #1: 19800 Macarthur Blvd Suite 650, Irvine, CA 92612
BD
CRD#: 40054
Irvine, CA
Past

April 18, 2022 - February 24, 2023

TRITON PACIFIC SECURITIES, LLC

BD
CRD#: 139919
EL SEGUNDO, CA
Past

November 6, 2020 - January 27, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEWPORT BEACH, CA

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
California
(10/24/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/2/2021
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 11/5/2020
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 2/6/2020
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

WC
WAVELAND CAPITAL PARTNERS LLC
MERCER GLOBAL SECURITIES LLC | WAVELAND SECURITIES LLC | WAVELAND CAPITAL PARTNERS LLC

CRD#: 40054 / SEC#: , 8-48962

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
19800 Macarthur Blvd Suite 650, Irvine, CA 92612
Mailing Address
19800 Macarthur Blvd Suite 650, Irvine, CA 92612
Phone number
(949) 706-5000
Established
Delaware since 03/28/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (49 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
WAVELAND CAPITAL GROUP LLCOWNER
DOOLEY, ADAM JAMESPRESIDENT2547292
IRVANI, SAMFINOP4298335
PRINCE, TRISHA ANNECHIEF COMPLIANCE OFFICER2941980

Disclosures

Arbitration2

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.

Company Information

WAVELAND CAPITAL PARTNERS LLC

CRD#: 40054Irvine, CA 92612

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