George M. Freeman
Professional summary
George Mallory Freeman JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
George is a previously registered financial professional and started their career in finance in 1977. Prior to being barred, George had worked at 9 firms, which includes USALLIANZ SECURITIES INC., BRIGHTSIDE INVESTMENTS INC., LONDON PACIFIC SECURITIES INC., VOYA FINANCIAL ADVISORS INC., LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION, INVESTACORP INC., EQUITABLE ADVISORS LLC, NATIONWIDE INVESTMENT SERVICES CORPORATION, THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 17, 2001 - October 10, 2001
USALLIANZ SECURITIES, INC.
June 16, 1999 - September 21, 2001
BRIGHTSIDE INVESTMENTS, INC.
January 22, 1997 - May 3, 1999
LONDON PACIFIC SECURITIES, INC.
July 22, 1996 - December 5, 1996
VOYA FINANCIAL ADVISORS, INC.
May 3, 1990 - July 22, 1996
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
January 24, 1989 - March 6, 1990
INVESTACORP, INC.
October 20, 1980 - January 19, 1989
EQUITABLE ADVISORS, LLC
September 15, 1980 - October 14, 1986
NATIONWIDE INVESTMENT SERVICES CORPORATION
March 24, 1977 - January 19, 1989
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
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: 3/12/1977
Registered Representative ExaminationCurrent Firm
USALLIANZ SECURITIES, INC.
CRD#: 40875 / SEC#: , 8-49216
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLIANZ LIFE INSURANCE COMPANY OF NORTH AMERICA | SHAREHOLDER | |
| HOWELL, RUTH ANNETTE | CHIEF COMPLIANCE OFFICER, COMPLIANCE REGISTERED OPTIONS PRINCIPAL | |
| INGERSOLL, THADDEUS WINTHROP III | COMPLIANCE MANAGER, SENIOR REGISTERED OPTIONS PRINCIPAL | 2616975 |
| JORGENSEN, MICHAEL JAMES | PRESIDENT | 2676329 |
| REITAN, EMILY SUZANNE | CHIEF FINANCIAL OFFICER & TREASURER | 5209812 |
| VITIELLO, VINCENT GERARD | CHAIRMAN OF THE BOARD | 1059845 |
Disclosures
| Regulatory Event | 3 |
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