Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you George? Claim Your ProfileGeorge Stergio is a financial professional with over 18 years of experience in the securities industry. George is currently registered with UBS Securities LLC in New York, New York. George's previous experience includes roles at J.P. Morgan Securities LLC, Deutsche Bank Securities Inc., Citigroup Global Markets Inc., Crown Financial Group, Inc., Cathay Financial LLC, and Goldman, Sachs & Co. George holds FINRA Series 7, 55, 63, 57TO, 99TO, and SIE licenses.
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.
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.
1
2
NY
11/03/2020 - Present
UBS Securities LLC (NEW YORK NY)
NY
09/14/2018 - 09/09/2020
J.P. MORGAN SECURITIES LLC (NEW YORK NY)
NY
07/17/2009 - 03/09/2018
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
NY
08/12/2008 - 01/07/2009
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
07/23/2004 - 04/11/2008
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
NJ
06/30/2003 - 07/09/2003
CROWN FINANCIAL GROUP, INC. (JERSEY CITY NJ)
NY
06/06/2002 - 04/02/2003
CATHAY FINANCIAL LLC (NEW YORK NY)
NY
12/14/2000 - 12/03/2001
GOLDMAN, SACHS & CO. (NEW YORK NY)
BC
Issued 01/26/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/21/2001
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 12/13/2000
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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