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George William Carris

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Information

Other Names: George William Carris Mr.
Firm:
Type: Not Actively Registered
Description

George Carris is the majority owner of John Carris Investments LLC, a broker-dealer with 52 registered representatives nationwide. George has held an industry securities registration for 10 years.

Advisor Timeline

No timeline events available.
Experience
EmployerYearsDates
John Carris Investment 5 years, 2 months Jun 2009 - Present
Archey & Co. 1 month May 2009 - Jun 2009
Brockington Securities 1 year, 9 months Aug 2007 - May 2009
Fordam Financial 7 years, 9 months Nov 1999 - Aug 2007
Exams
ExamSeriesPassed Date
General Securities Principal ExaminationSeries 24 08/21/2002
Uniform Securities Agent State Law ExaminationSeries 63 07/28/1998
General Securities Representative ExaminationSeries 7 07/21/1998

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

George William Carris has not answered any questions on Financial Q&A.

Top Guides

George William Carris has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

No client types listed.

Licenses and Conduct

Regulator
License Status
Not registered
Disclosures

3 Customer Disputes

1 Customer Dispute Pending

1 Regulatory Event Pending

As of Date
10/23/2013
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Firm Compensation Arrangements

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No compensation arrangements listed.