George S. Fisher
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 Stephen Fisher, who also goes by Stephen George Fisher, was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1978. George had worked at 2 firms and has passed the Series 7, Series 22, F04 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 14, 1988 - June 20, 1989
FIRST SIERRA INVESTMENT COMPANY, INC.
August 4, 1987 - September 23, 1988
HIGHLANDS SECURITIES CORPORATION
May 12, 1978 - February 4, 1983
HIGHLANDS SECURITIES CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
F04
Date: 9/19/1978
Financial Principal ExaminationSeries 40
Date: 5/4/1978
Registered Principal ExaminationCurrent Firm
FIRST SIERRA INVESTMENT COMPANY, INC.
CRD#: 18624 / SEC#: , 8-38795
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
