George M. Hunihan

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CRD#: 835237

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 Michael Hunihan was a registered financial professional .

George is a previously registered financial professional and started their career in finance in 1977. George had worked at 10 firms and has passed the Series 66, Series 63, Series 7, PC and Series 24 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 8, 2011 - January 11, 2012

VINING-SPARKS IBG, LLC

CRD#: 27502

NEW YORK, NY

Past

March 10, 2010 - May 13, 2010

PIERPONT CAPITAL ADVISORS LLC

CRD#: 108424

NEW YORK, NY

Past

June 24, 2009 - October 30, 2009

FELIX INVESTMENTS LLC

CRD#: 148441

UPPER SADDLE RIVER, NJ

Past

October 15, 2008 - June 22, 2009

ADVANCED EQUITIES, INC.

RIA

CRD#: 35545

NEW YORK, NY

Past

June 20, 2008 - June 22, 2009

ADVANCED EQUITIES, INC.

CRD#: 35545

NEW YORK, NY

Past

May 1, 2001 - October 14, 2002

THOR CAPITAL LLC

CRD#: 45716

FORT LEE, NJ

Past

June 4, 1999 - November 14, 2000

OFFROAD SECURITIES, INC.

CRD#: 30890

SAN FRANCISCO, CA

Past

July 16, 1991 - April 4, 1994

NOMURA SECURITIES INTERNATIONAL, INC.

CRD#: 4297

NEW YORK, NY

Past

May 31, 1990 - June 3, 1991

CHASE SECURITIES, INC.

CRD#: 10793

NEW YORK, MD

Past

February 12, 1986 - December 19, 1989

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

March 1, 1977 - February 11, 1986

GOLDMAN SACHS & CO. LLC

CRD#: 361

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/10/2008

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/24/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/19/2008

General Securities Representative Examination

General Industry/Product Exam

PC

Date: 5/1/1977

AMEX Put and Call Exam

Principal/Supervisory Exam

Series 24

Date: 6/8/2001

General Securities Principal Examination

Current Firm

VINING-SPARKS IBG, LLC

VINING SPARKS | VINING-SPARKS INVESTMENT BANKERS GROUP, L. P. | VINING-SPARKS IBG, LLC | VINING-SPARKS IBG, LIMITED PARTNERSHIP

CRD#: 27502 / SEC#: , 8-43150

Terminated by SEC on 11/26/2023

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Contact information

Main Address

Mailing Address

Phone number

Established

Delaware since 10/27/2021

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
STIFEL FINANCIAL CORP.	SHAREHOLDER
COLEMAN, KAREN SUE	PRINCIPAL FINANCIAL OFFICER	1485120
GLADNEY, HAROLD LAMAR	CHIEF COMPLIANCE OFFICER AND PRINCIPAL OPERATIONS OFFICER	1189322
MEDFORD, MARK ANTHONY	PRESIDENT/CEO/CHAIRMAN	5582726
SHEA, MARTIN FLANAGAN JR.	EVP & GENERAL COUNSEL	4697655

Disclosures

Regulatory Event

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.

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Firm Stability Insights

George M. Hunihan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PIERPONT CAPITAL ADVISORS LLC

FELIX INVESTMENTS LLC

ADVANCED EQUITIES, INC.

ADVANCED EQUITIES, INC.

THOR CAPITAL LLC

OFFROAD SECURITIES, INC.

NOMURA SECURITIES INTERNATIONAL, INC.

CHASE SECURITIES, INC.

CREDIT SUISSE SECURITIES (USA) LLC

GOLDMAN SACHS & CO. LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/10/2008

Series 63

Date: 6/24/1999

Series 7

Date: 6/19/2008

PC

Date: 5/1/1977

Series 24

Date: 6/8/2001

Current Firm

VINING-SPARKS IBG, LLC

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

VINING-SPARKS IBG, LLC

TRUST BUT VERIFY

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