George L. Mccaffrey
Professional summary
George Louis Mccaffrey III 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 1978. Prior to being barred, George had worked at 8 firms, which includes NTB FINANCIAL CORPORATION, J. W. GANT & ASSOCIATES INC., FIRST EASTERN SECURITIES CORPORATION, AMERICAN FRONTEER FINANCIAL CORPORATION, SECO SECURITIES INC., DEVANNEY BURGIN SHANACY INC., GELDERMANN SECURITIES INC., SFC EQUITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 14, 1989 - October 30, 2017
NTB FINANCIAL CORPORATION
January 15, 1986 - June 20, 1989
J. W. GANT & ASSOCIATES, INC.
August 26, 1985 - January 1, 1986
FIRST EASTERN SECURITIES CORPORATION
July 15, 1984 - June 20, 1989
J. W. GANT & ASSOCIATES, INC.
January 18, 1983 - May 29, 1984
AMERICAN FRONTEER FINANCIAL CORPORATION
February 2, 1982 - January 25, 1983
SECO SECURITIES, INC.
October 9, 1980 - December 20, 1981
DEVANNEY, BURGIN, SHANACY, INC.
March 26, 1980 - October 5, 1980
GELDERMANN SECURITIES INC.
January 3, 1978 - February 28, 1978
SFC EQUITIES INC.
State Registrations and Notice Filings
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Exams
Current Firm
NTB FINANCIAL CORPORATION
CRD#: 7425 / SEC#: 801-65853, 8-21884
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN, MICHAEL JOHN | SHAREHOLDER | 1437315 |
| PETRELLI, ANTHONY BENEDICT | SHAREHOLDER | 809169 |
| ROESENER, REGINA LEE | SHAREHOLDER | 1937783 |
| CAMPEN, ANTHONY JOSEPH | CHIEF COMPLIANCE OFFICER, PRINCIPAL OPERATIONS OFFICER | 1959903 |
| DOWELL, BRAD ALLEN | CHIEF FINANCIAL OFFICER FINOP, PRINCIPAL FINANCIAL OFFICER | 1308189 |
Regulatory assets under management
| Total Number of Accounts | 724 |
| AUM (Assets Under Management) | $ 250,252,265 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 4 |
Red Flags
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