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George Argo Carhart

CRD# 807336·Registered 1975 - 1995
Barred: George Argo Carhart was barred by the SEC and is not permitted to conduct business in the covered capacity.

Professional Summary

George Argo Carhart was a registered financial advisor. George was a previously registered financial professional and started their career in finance 1975 - 1995. George had worked at 14 firms and has passed the Series 63, Series 5, Series 7, Series 24 and Series 8 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

51 years in the financial services industry

Current & Past Employments

ROBERT TODD FINANCIAL CORP.·CRD# 7423
BD
New York, NY
November 11, 1994 - February 14, 1995
WESTFIELD FINANCIAL CORPORATION·CRD# 8143
BD
New York, NY
March 24, 1992 - November 11, 1994
JOSEPHTHAL & CO., INC.·CRD# 3227
BD
New York, NY
February 8, 1990 - September 23, 1991
LEHMAN BROTHERS INC.·CRD# 7506
BD
New York, NY
March 28, 1989 - February 12, 1990
BAILEY, MARTIN & APPEL, INC.·CRD# 15833
BD
October 3, 1988 - February 11, 1989
R.C. STAMM & CO., INC.·CRD# 11105
BD
February 12, 1988 - September 20, 1988
PHILIPS, APPEL & WALDEN, INC.·CRD# 659
BD
February 5, 1987 - January 1, 1988
ROONEY, PACE INC.·CRD# 6218
BD
October 25, 1985 - June 19, 1986
KUHNS BROTHERS & LAIDLAW, INC.·CRD# 1481
BD
April 15, 1985 - October 23, 1985
CRALIN & CO., INC.·CRD# 7605
BD
July 12, 1984 - April 8, 1985
CIBC WORLD MARKETS CORP.·CRD# 630
BD
September 10, 1981 - June 15, 1984
J.P. MORGAN SECURITIES LLC·CRD# 79
BD
January 22, 1981 - September 18, 1981
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
BD
September 26, 1978 - December 21, 1978
CIBC WORLD MARKETS CORP.·CRD# 630
BD
May 25, 1978 - January 19, 1981
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.·CRD# 572
BD
April 24, 1975 - September 26, 1978

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Current Firm

RT
ROBERT TODD FINANCIAL CORP.

EDMUNDSON & RUSSELL INVESTMENTS, INC. | ROBERT TODD FINANCIAL CORP. | ROBERT TODD FINANCIAL CORP | MILES SECURITIES, INC.

CRD#: 7423 / SEC#: 8-21716
BD
Cancelled by SEC on 06/29/1995

Contact Information

Established

Texas since 02/17/1977

Firm Type

Corporation

Fiscal Year End

December

Documents

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jun 1979About the Series 63 exam

Series 5 — Interest Rate Options Examination

Passed Oct 1981

Series 7 — General Securities Representative Examination

Passed Apr 1975About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Mar 1993About the Series 24 exam

Series 8 — General Securities Sales Supervisor Examination (Options Module & General Module)

Passed Apr 1984

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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