George F. Tully
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 Francis Tully was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1975. George had worked at 7 firms and has passed the Series 63, Series 7 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 3, 1988 - October 5, 1990
DOMINICK & DICKERMAN LLC
November 7, 1985 - October 14, 1986
RIVIERE SECURITIES CORPORATION
March 29, 1985 - October 3, 1988
DOMIK CORP.
April 19, 1982 - March 26, 1985
KUHNS BROTHERS & LAIDLAW, INC.
March 18, 1977 - August 24, 1982
LAIDLAW, MARTIN & MOYSEY, INC.
November 24, 1976 - March 18, 1977
BLYTH EASTMAN DILLON & CO. INCORPORATED
September 7, 1976 - October 15, 1976
DEAN WITTER & CO. INCORPORATED
September 25, 1975 - August 14, 1976
LAIDLAW, MARTIN & MOYSEY, 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 40
Date: 8/9/1977
Registered Principal ExaminationCurrent Firm
DOMINICK & DICKERMAN LLC
CRD#: 7344 / SEC#: 801-63247, 8-21076
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DM TRUST | OWNER | |
| DERBY WEST LLC | TRUSTEE OF DM TRUST | |
| HLADEK, ROBERT MICHAEL | CEO | |
| HLADEK, ROBERT MICHAEL | SR. VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2199923 |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 11 |
| Bond | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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