George F. Speicher
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 Franklin Speicher III, who also goes by George Franklin Speicher, was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1976. George had worked at 9 firms and has passed the Series 63, Series 3, PC and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2005 - September 20, 2005
SECURITIES RESEARCH, INC. OF FLORIDA
June 3, 1997 - January 23, 2003
NEWEDGE USA, LLC
August 16, 1993 - June 19, 1995
J.P. MORGAN SECURITIES LLC
July 31, 1993 - September 10, 1993
CITIGROUP GLOBAL MARKETS INC.
June 25, 1991 - July 31, 1993
LEHMAN BROTHERS INC.
September 14, 1982 - June 6, 1991
CITIGROUP GLOBAL MARKETS INC.
January 5, 1982 - September 8, 1982
MABON, NUGENT & CO.
September 20, 1979 - August 17, 1981
JOHN MUIR & CO.
March 14, 1977 - October 28, 1979
ROTAN MOSLE INC.
March 1, 1976 - April 25, 1977
REYNOLDS 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
PC
Date: 7/20/1977
AMEX Put and Call ExamCurrent Firm
SECURITIES RESEARCH, INC. OF FLORIDA
CRD#: 6516 / SEC#: , 8-23699
Contact information
Regulatory assets under management
| Total Number of Accounts | 2 |
| AUM (Assets Under Management) | $ 14,823,000 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
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.
