George ThiergartnerCRD Number: 1123867
Current Firm: Moors & Cabot, Inc.
George Thiergartner (CRD# 1123867) is an Investment Advisor Representative working at Moors & Cabot, Inc. in Winter Park, FL and has over 21 years of experience in the finance industry.
Ameriprise Financial Services, Inc.
American Financial Advisors Inc.
Retirement Wealth Advisors, Inc.
|Moors & Cabot||Winter Park, FL||Jun 2012 - Current||5|
|Unemployed||Winter Park, FL||May 2012 - Jun 2012||< 1|
|Wells Fargo Advisors Financial Network LLC||Winter Park, FL||Mar 2011 - May 2012||1|
|Janney Montgomery Scott Ll||Philadelphia, PA||Jun 2007 - Mar 2011||3|
|Salomon Smith Barney Inc.||Winter Park, FL||Jul 1993 - Jun 2007||13|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Oct 1996|
|S66||NASAA Uniform Combined State Law Examination||Apr 2016|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Employer Dispute
- Customer Dispute
Total Assets Under Management1,058MILLIONS
Total Number of Accounts2,218ACCOUNTS
Average Account Value$477,163
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
AL, CA, CO, CT, DC, FL, GA, IA, IL, IN, LA, MD, ME, MI, MO, NC, NH, NJ, NY, OH, OK, OR, PA, RI, SC, TN, TX, VA, VT, WA, WI