George A. Carhart
Professional summary
George Argo Carhart was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
George is a previously registered financial professional and started their career in finance in 1975. Prior to being barred, George had worked at 14 firms, which includes ROBERT TODD FINANCIAL CORP., WESTFIELD FINANCIAL CORPORATION, JOSEPHTHAL & CO. INC., LEHMAN BROTHERS INC., BAILEY MARTIN & APPEL INC., R.C. STAMM & CO. INC., PHILIPS APPEL & WALDEN INC., ROONEY PACE INC., KUHNS BROTHERS & LAIDLAW INC., CRALIN & CO. INC., CIBC WORLD MARKETS CORP., J.P. MORGAN SECURITIES LLC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, MERRILL LYNCH PIERCE FENNER & SMITH INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 11, 1994 - February 14, 1995
ROBERT TODD FINANCIAL CORP.
March 24, 1992 - November 11, 1994
WESTFIELD FINANCIAL CORPORATION
February 8, 1990 - September 23, 1991
JOSEPHTHAL & CO., INC.
March 28, 1989 - February 12, 1990
LEHMAN BROTHERS INC.
October 3, 1988 - February 11, 1989
BAILEY, MARTIN & APPEL, INC.
February 12, 1988 - September 20, 1988
R.C. STAMM & CO., INC.
February 5, 1987 - January 1, 1988
PHILIPS, APPEL & WALDEN, INC.
October 25, 1985 - June 19, 1986
ROONEY, PACE INC.
April 15, 1985 - October 23, 1985
KUHNS BROTHERS & LAIDLAW, INC.
July 12, 1984 - April 8, 1985
CRALIN & CO., INC.
September 10, 1981 - June 15, 1984
CIBC WORLD MARKETS CORP.
January 22, 1981 - September 18, 1981
J.P. MORGAN SECURITIES LLC
September 26, 1978 - December 21, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 25, 1978 - January 19, 1981
CIBC WORLD MARKETS CORP.
April 24, 1975 - September 26, 1978
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
Series 5
Date: 10/12/1981
Interest Rate Options ExaminationSeries 8
Date: 4/30/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ROBERT TODD FINANCIAL CORP.
CRD#: 7423 / SEC#: , 8-21716
Contact information
Documents
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