George P. Assad

VANDERBILT SECURITIES

Methuen, MA

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CRD#: 8288

Professional summary

George Peter Assad JR is a registered financial professional currently at VANDERBILT SECURITIES, LLC located in Methuen, Massachusetts.

George is registered as a RR (Registered Representative) and started their career in finance in 1967. George has worked at 7 firms and has passed the Series 63, Series 99TO, Series 7TO, SIE and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view George Peter Assad JR's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

October 12, 2021 - Present

VANDERBILT SECURITIES, LLC

CRD#: 5953

Methuen, MA

Past

May 2, 2018 - September 9, 2021

REVERE SECURITIES LLC

CRD#: 14178

BOSTON, MA

Past

January 12, 2009 - May 2, 2018

PETERSEN INVESTMENTS, INC.

CRD#: 38537

BOSTON, MA

Past

September 21, 1992 - December 31, 2008

KIMBALL & CROSS INVESTMENT MANAGEMENT CORP.

CRD#: 2438

BOSTON, MA

Past

October 11, 1972 - September 9, 1992

LOYAL3 SECURITIES INC.

CRD#: 6380

SAN FRANCISCO, CA

Past

February 4, 1972 - August 24, 1972

R P DURKING & COMPANY INC

CRD#: 1000002

Past

July 12, 1967 - February 6, 1972

PALMER, POLLACCHI & CO., INC.

CRD#: 641

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Florida
(10/12/2021)

Maine
(10/12/2021)

Massachusetts
(10/12/2021)

New Hampshire
(10/12/2021)

Pennsylvania
(10/12/2021)

Rhode Island
(10/12/2021)

Exams

State Security Law Exam

Series 63

Date: 5/30/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 7/11/1967

Registered Representative Examination

SRO Registrations

FINRA

Current Firm

VANDERBILT SECURITIES, LLC

RICHARDT-ALYN & CO. | VANDERBILT SECURITIES, LLC | VANDERBILT SECURITIES

CRD#: 5953 / SEC#: , 8-16712

Broker-Dealer Firm Regulated by FINRA (Long Island district office)

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Contact information

Main Address

125 Froehlich Farm Blvd., Woodbury, NY 11797

Mailing Address

125 Froehlich Farm Blvd., Woodbury, NY 11797

Phone number

(631) 845-5100

Established

New York since 12/05/2001

Firm type

Limited Liability Company

Fiscal year end

September

Firm Size

Medium

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
VANDERBILT CAPITAL, LLC	SOLE OWNER
ANTENOR, JR, DANIEL	CHIEF OPERATIONS OFFICER/OPTIONS/MUNI	5839052
DISTANTE, STEPHEN ALFRED	CEO - LIMITED PARTNER	2206574
PLAPP, MEGAN LYNN	FINOP, POO, PFO, CFO	6790596
THOMAS, MICHELLE DENISE	CHIEF COMPLIANCE OFFICER	2210435
TRIFILETTI, JOSEPH JOHN	PRESIDENT	5295897

Disclosures

Regulatory Event	5
Arbitration	1

Red Flags

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Firm Stability Insights

George P. Assad

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view George Peter Assad JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

REVERE SECURITIES LLC

PETERSEN INVESTMENTS, INC.

KIMBALL & CROSS INVESTMENT MANAGEMENT CORP.

LOYAL3 SECURITIES INC.

R P DURKING & COMPANY INC

PALMER, POLLACCHI & CO., INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/30/1998

Series 99TO

Date: 1/2/2023

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 1

Date: 7/11/1967

FINRA

Current Firm

VANDERBILT SECURITIES, LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

VANDERBILT SECURITIES, LLC

TRUST BUT VERIFY

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