George R. Jay
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 Richard Jay was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1975. George had worked at 5 firms and has passed the SIE, Series 1, Series 27 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 27, 2010 - December 31, 2015
HIMCO DISTRIBUTION SERVICES COMPANY
December 16, 1998 - April 6, 1999
GLOBAL ATLANTIC DISTRIBUTORS, LLC
November 4, 1998 - September 11, 2008
HARTFORD FUNDS DISTRIBUTORS, LLC
March 20, 1995 - September 11, 2008
TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.
June 17, 1977 - September 11, 2008
HIMCO DISTRIBUTION SERVICES COMPANY
June 24, 1975 - April 5, 1976
TOWER SQUARE SECURITIES, 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 1
Date: 6/12/1975
Registered Representative ExaminationSeries 00
Date: 6/26/1975
General Securities Principal ExaminationCurrent Firm
HIMCO DISTRIBUTION SERVICES COMPANY
CRD#: 6604 / SEC#: , 8-17719
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HARTFORD FINANCIAL SERVICES, LLC | PARENT OF APPLICANT | |
| BENKEN, DIANA KUMP | CONTROLLER, FINOP, CHIEF FINANCIAL OFFICER | 4579476 |
| CONNER, CHRISTOPHER SCOTT | CHIEF COMPLIANCE OFFICER AND AML OFFICER | 2239639 |
| FAY, ERIC MORGAN | DIRECTOR | 1558547 |
| FIXER, MICHAEL JOSEPH | ASSISTANT VICE PRESIDENT AND ASSISTANT TREASURER | 5601318 |
| JOHNSON, BRION SCOTT | DIRECTOR | 1936218 |
| POZNAR, MATTHEW JAMES | CEO, DIRECTOR | 6307254 |
| PURTILL, SABRA R | TREASURER | 2449290 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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.
