George W. Waters
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 William Waters was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1979. George had worked at 16 firms and has passed the Series 65, 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
December 6, 2019 - January 3, 2025
STONEX SECURITIES INC.
May 27, 2011 - December 23, 2019
QUEST CAPITAL STRATEGIES, INC.
July 31, 2009 - December 21, 2010
NDX TRADING, INC.
March 11, 2005 - August 30, 2007
SANDGRAIN SECURITIES LLC
November 3, 2004 - March 17, 2005
CITICORP INVESTMENT SERVICES
June 2, 2003 - March 17, 2005
CITICORP INVESTMENT SERVICES
November 17, 1994 - May 30, 2003
OPPENHEIMER & CO. INC.
September 19, 1994 - November 28, 1994
H G I
March 22, 1994 - September 26, 1994
D. BLECH & COMPANY, INCORPORATED
October 29, 1991 - March 28, 1994
REICH & CO., INC.
July 18, 1991 - January 7, 1992
D. H. BLAIR & CO., INC.
April 25, 1988 - July 31, 1991
LEHMAN BROTHERS INC.
June 27, 1986 - May 4, 1988
J.P. MORGAN SECURITIES LLC
November 20, 1985 - July 17, 1986
CITIGROUP GLOBAL MARKETS INC.
January 3, 1982 - June 27, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
December 10, 1981 - January 6, 1986
LEHMAN BROTHERS INC.
October 1, 1980 - December 24, 1981
MORGAN STANLEY DW INC.
November 26, 1979 - October 15, 1980
BRUNS, NORDEMAN, REA & CO.
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
STONEX SECURITIES INC.
CRD#: 18456 / SEC#: , 8-36638
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STONEX GROUP INC. | 100% OWNER | |
| BOLTE, DAVID ALBERT | SECRETARY | 2711410 |
| CARTER, JAY WILSON | PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR | 2412541 |
| DAVISON, STUART ANDREW | DIRECTOR | 7824576 |
| DUNAWAY, WILLIAM JOHN | DIRECTOR | 6505923 |
| HUGO, MARK ERIC | POO | 2177412 |
| LYON, CHARLES MARTIN | DIRECTOR | 4000852 |
| MAURER, MARK L | DIRECTOR | 4234406 |
| MCAUSLAN, JAMES BUCHANAN | DIRECTOR | 7658964 |
| PARKER, BRIAN LANE | CHIEF COMPLIANCE OFFICER, ROSFP | 4635848 |
| PORZIO, JOSEPH JOHN | CFO / PFO / FINOP | 1319702 |
| RICHARDSON, MARCUS BRYANT | CHIEF OPERATING OFFICER | 3037932 |
| SMITH, PHILIP ANDREW | DIRECTOR, CHAIRMAN OF THE BOARD | 4999097 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 4 |
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.
