Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you George? Claim Your ProfileGeorge James Mundy is a financial advisor with Wells Fargo Clearing Services, LLC, with over 25 years of experience in the financial services industry. George holds FINRA Series 7, 31, 63 and 65 licenses, as well as the SIE designation. George is a Certified Financial Planner and offers investment advice to individuals and businesses. George previously worked at UBS Financial Services Inc. and Morgan Stanley DW Inc. George has expertise in various financial areas and can provide advice on a wide range of financial needs.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
PA
09/26/2018 - Present
Wells Fargo Clearing Services, LLC (YARDLEY PA)
PA
12/09/2005 - 08/03/2010
UBS FINANCIAL SERVICES INC. (NEWTOWN PA)
NY
06/28/1999 - 12/12/2005
MORGAN STANLEY DW INC. (PURCHASE NY)
NY
06/12/1993 - 07/14/1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 06/14/2016
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/17/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/26/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 06/07/1993
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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