Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you George? Claim Your ProfileGeorge Simmons is a financial advisor who has been in the industry since April 2000. George is currently registered as a broker-dealer and investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc. in New Haven, CT. George holds the Series 7, Series 10, Series 24, Series 63 and Series 65 licenses. George is also a registered investment advisor representative in North Carolina and has been registered with the state of Connecticut since October 2009. Previously, George was a registered representative with BANC of America Investment Services, INC. in Wallingford, CT from October 2004 to October 2009. George has worked with clients in several states including Alabama, Arizona, California, Colorado, Connecticut, Delaware, Florida, Georgia, Illinois, Maine, Massachusetts, Michigan, Mississippi, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, Ohio, Oregon, Pennsylvania, Rhode Island, South Carolina, Tennessee, Vermont, Virginia, Washington, and Wisconsin.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
CT
09/04/2024 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW HAVEN CT)
CT
10/20/2004 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (WALLINGFORD CT)
NY
04/17/2002 - 10/20/2004
QUICK & REILLY, INC. (NEW YORK NY)
NY
04/07/2000 - 04/15/2002
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 05/12/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/20/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/05/2002
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/06/2000
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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