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GA

George P. Assad

VANDERBILT SECURITIES
Methuen, MA
Some features on this profile are disabled
CRD#: 8288
GA

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"?
No

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

BD
CRD#: 5953
Methuen, MA
Past

May 2, 2018 - September 9, 2021

REVERE SECURITIES LLC

BD
CRD#: 14178
BOSTON, MA
Past

January 12, 2009 - May 2, 2018

PETERSEN INVESTMENTS, INC.

BD
CRD#: 38537
BOSTON, MA
Past

September 21, 1992 - December 31, 2008

KIMBALL & CROSS INVESTMENT MANAGEMENT CORP.

BD
CRD#: 2438
BOSTON, MA
Past

October 11, 1972 - September 9, 1992

LOYAL3 SECURITIES INC.

BD
CRD#: 6380
SAN FRANCISCO, CA
Past

February 4, 1972 - August 24, 1972

R P DURKING & COMPANY INC

BD
CRD#: 1000002
Past

July 12, 1967 - February 6, 1972

PALMER, POLLACCHI & CO., INC.

BD
CRD#: 641

State Registrations and Notice Filings

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

RR
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

RR
Florida
(10/12/2021)
RR
Maine
(10/12/2021)
RR
Massachusetts
(10/12/2021)
RR
New Hampshire
(10/12/2021)
RR
Pennsylvania
(10/12/2021)
RR
Rhode Island
(10/12/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 5/30/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 1
Date: 7/11/1967
Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

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

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

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

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
VANDERBILT CAPITAL, LLCSOLE OWNER
ANTENOR, JR, DANIELCHIEF OPERATIONS OFFICER/OPTIONS/MUNI5839052
DISTANTE, STEPHEN ALFREDCEO - LIMITED PARTNER2206574
PLAPP, MEGAN LYNNFINOP, POO, PFO, CFO6790596
THOMAS, MICHELLE DENISECHIEF COMPLIANCE OFFICER2210435
TRIFILETTI, JOSEPH JOHNPRESIDENT5295897

Disclosures

Regulatory Event5
Arbitration1

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.

Company Information

VANDERBILT SECURITIES, LLC

CRD#: 5953Methuen, MA

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