William M. George
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.
William Morris George, who also goes by Bill George, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1979. William had worked at 16 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 1, 2013 - January 31, 2017
SECURITIES AMERICA, INC.
March 10, 2011 - December 21, 2012
LPL FINANCIAL LLC
March 9, 2011 - December 21, 2012
LPL FINANCIAL LLC
August 5, 2009 - February 14, 2011
CROWELL, WEEDON & CO.
August 3, 2009 - February 14, 2011
CROWELL, WEEDON & CO.
August 29, 2003 - August 11, 2009
WEDBUSH SECURITIES INC.
October 26, 2000 - September 4, 2003
M.L. STERN & CO., LLC.
January 28, 2000 - May 9, 2000
ASSET PLANNING SOLUTIONS, INC.
May 1, 1998 - October 13, 1998
WAMU INVESTMENTS, INC.
February 24, 1998 - May 1, 1998
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
April 30, 1993 - March 25, 1998
EMPIRE SECURITIES CORPORATION
July 16, 1992 - April 22, 1993
KENNEDY, CABOT & CO.
November 28, 1990 - June 30, 1992
EMPIRE SECURITIES CORPORATION
October 3, 1988 - November 19, 1990
FIRST WALL STREET CORP.
September 14, 1987 - September 1, 1988
SENTRA SECURITIES CORPORATION
June 5, 1987 - July 22, 1987
LIBERTY CAPITAL MARKETS, INC.
September 11, 1984 - March 13, 1987
SUTRO & CO. INCORPORATED
March 4, 1982 - September 24, 1984
LEHMAN BROTHERS INC.
November 1, 1979 - March 17, 1982
CALIFORNIA MUNICIPAL INVESTORS, INC.
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
Current Firm
SECURITIES AMERICA, INC.
CRD#: 10205 / SEC#: , 8-26602
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORP. | SHAREHOLDER | |
| CHAFFEE, HAROLD GERARD | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2905661 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| FORD, ERINN JUNE | INTERIM PRESIDENT, DIRECTOR AND CEO | 2176816 |
| GERB, JASON HARRIS | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HULETT, KIRK JESSE | EXECUTIVE VICE PRESIDENT, STRATEGY & PRACTICE MANAGEMENT, DIRECTOR | 2528380 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 58 |
| Arbitration | 27 |
| Bond | 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.
