George R. Finn
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 Raphael Finn JR, who also goes by George Raphael Finn, was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1975. George had worked at 9 firms and has passed the Series 63, SIE, PC, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 3, 1997 - February 10, 2020
REALTA EQUITIES, INC.
February 22, 1996 - October 28, 1997
GAGE-WILEY & CO., INC.
October 9, 1991 - February 9, 1996
JOSEPHTHAL & CO., INC.
January 11, 1991 - October 21, 1991
JJC SECURITIES CO., INC.
May 16, 1988 - January 18, 1991
LEHMAN BROTHERS INC.
October 2, 1980 - May 13, 1988
ALEX. BROWN & SONS INCORPORATED
January 23, 1979 - October 5, 1980
CROWN FINANCIAL CORPORATION
October 28, 1976 - January 21, 1979
CITIGROUP GLOBAL MARKETS INC.
January 24, 1975 - November 14, 1976
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
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
PC
Date: 9/7/1977
AMEX Put and Call ExamSeries 8
Date: 12/16/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
REALTA EQUITIES, INC.
CRD#: 23769 / SEC#: , 8-40822
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 7 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
