George R. Guerin
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 Raymond Guerin, who also goes by George R Guerin, was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1976. George had worked at 8 firms and has passed the Series 65, Series 63, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 12, 2017 - February 28, 2018
INVESTMENT SECURITY GROUP, INC.
September 11, 2006 - December 31, 2008
TRIAD ADVISORS LLC
September 29, 2003 - September 11, 2006
ASSOCIATED SECURITIES CORP.
January 1, 1999 - September 11, 2006
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC
January 2, 1996 - December 31, 2016
GUERIN FINANCIAL SERVICES,LTD.
July 2, 1985 - September 11, 2006
ASSOCIATED SECURITIES CORP.
January 31, 1982 - July 15, 1985
LPL FINANCIAL LLC
December 2, 1980 - February 3, 1982
SOUTHMARK FINANCIAL SERVICES, INC.
August 17, 1976 - February 2, 1981
NEW ENGLAND SECURITIES
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: 8/13/1976
Registered Representative ExaminationCurrent Firm
INVESTMENT SECURITY GROUP, INC.
CRD#: 136568 / SEC#: 801-64651
Contact information
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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