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George M. Wittschen

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CRD#: 837994
GW

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 M Wittschen, who also goes by George Michael Wittschen, was a registered financial professional .

George is a previously registered financial professional and started their career in finance in 1977. George had worked at 11 firms and has passed the Series 63, Series 7 and Series 41 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

George Michael Wittschen

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

May 9, 1997 - June 9, 1998

INTERCAPITAL GOVERNMENT SECURITIES INC.

BD
CRD#: 19710
NEW YORK, NY
Past

May 9, 1997 - June 9, 1998

EXCO RMJ INTERNATIONAL INC.

BD
CRD#: 21287
Past

November 18, 1994 - March 20, 1997

CANTOR FITZGERALD SECURITIES

BD
CRD#: 19660
NEW YORK, NY
Past

November 18, 1994 - March 20, 1997

MINT BROKERS

BD
CRD#: 13681
NEW YORK, NY
Past

April 21, 1994 - September 30, 1994

W.A. CAPITAL MARKETS

BD
CRD#: 6292
NEW YORK, NY
Past

September 2, 1993 - December 6, 1993

HERZOG, HEINE, GEDULD, LLC

BD
CRD#: 2186
NEW YORK, NY
Past

May 11, 1987 - August 6, 1987

SCOTIA CAPITAL (USA) INC.

BD
CRD#: 2739
Past

November 22, 1985 - February 9, 1987

PRESCOTT, BALL & TURBEN, INC.

BD
CRD#: 7656
Past

August 9, 1985 - December 9, 1985

FUNDAMENTAL CORPORATE BOND BROKERS, INC.

BD
CRD#: 15147
Past

December 10, 1981 - May 16, 1985

RUSSELL & CO

BD
CRD#: 10264
Past

June 1, 1977 - September 30, 1981

MABON, NUGENT & CO.

BD
CRD#: 2617

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
RR
Series 63
Date: 10/1/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 9/1/1993
General Securities Representative Examination
General Industry/Product Exam
RR
Series 41
Date: 5/21/1983
NYSE Allied Member Examination

Current Firm

IG
INTERCAPITAL GOVERNMENT SECURITIES INC.
EXCO RMJ SECURITIES CORP. | RMJ SECURITIES CORPORATION | RMJ SECURITIES CORP. | INTERCAPITAL GOVERNMENT SECURITIES INC. | EXCO USA SECURITIES INC.

CRD#: 19710 / SEC#: , 8-38023

BD
Terminated by SEC on 07/02/2000
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 12/09/1958
Firm type
Corporation
Fiscal year end
March
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
INTERCAPITAL GROUP SERVICES INC100% SHAREHOLDER
KIMBERLIN, JOHN G IIICFO/FINOP2391226
MCDERMOTT, STEPHEN PAULCEO2850167
PURPORA, RONALD ANTHONYPRESIDENT1665726

Disclosures

Regulatory Event2

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

INTERCAPITAL GOVERNMENT SECURITIES INC.

CRD#: 19710

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