George H. Brandt
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 Henry Brandt was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1982. George had worked at 8 firms and has passed the Series 63, Series 7, Series 1, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 3, 2011 - February 24, 2012
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
October 24, 2005 - March 27, 2009
ONEAMERICA SECURITIES, INC.
May 14, 1999 - May 2, 2005
1717 CAPITAL MANAGEMENT COMPANY
January 8, 1998 - April 14, 1999
PRUCO SECURITIES, LLC.
September 22, 1993 - December 31, 1997
WOODBURY FINANCIAL SERVICES, INC.
April 29, 1991 - December 31, 1992
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.
April 23, 1991 - January 22, 1992
CARILLON INVESTMENTS, INC.
October 28, 1982 - November 19, 1990
NYLIFE SECURITIES LLC
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: 3/24/1977
Registered Representative ExaminationCurrent Firm
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
