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Detailed Report
GEORGE FREDERICK VERDONE JR
GEORGE FREDERICK VERDONE, GEORGE FREDERICK VERDONE JR JR
CRD#: 862870
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 6100 FAIRVIEW ROAD
9TH FLOOR
CHARLOTTE, NC 28211
Registration History
19801985199019952000200520102015202020252 FIRMS2009 - Present (15 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1993 - 2009 (15 years)BLEHMAN BROTHERS INC. (CRD# 7506)1988 - 1993 (4 years)BTHE ROBINSON-HUMPHREY COMPANY INC. (CRD# 723)1982 - 1988 (6 years)BWHEAT, FIRST SECURITIES, INC. (CRD# 6124)1979 - 1982 (3 years)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2001 - 2009 (7 years)
License(s)

State Registrations

B
Alabama 6/24/2010
B
Missouri 9/27/2022
B
Arkansas 4/14/2022
B
New Jersey 6/27/2022
B
California 4/28/2009
B
New York 4/28/2009
B
Colorado 4/28/2009
B
North Carolina 4/28/2009
B
Connecticut 6/27/2022
IA
North Carolina 4/28/2009
B
Delaware 2/1/2022
B
Ohio 7/9/2020
B
Florida 4/28/2009
B
Oklahoma 2/1/2022
B
Georgia 4/28/2009
B
Rhode Island 2/1/2022
B
Hawaii 4/30/2009
B
South Carolina 4/28/2009
B
Kentucky 7/9/2020
B
Tennessee 4/28/2009
B
Louisiana 6/24/2010
B
Texas 5/5/2010
B
Maryland 6/27/2022
IA
Texas 7/1/2010
B
Massachusetts 4/28/2009
B
Virginia 4/28/2009
B
Michigan 6/26/2009
B
Washington 1/19/2022

SRO Registrations

B
 BOX Exchange LLC
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
6100 FAIRVIEW ROAD 9TH FLOOR, CHARLOTTE, NC 28211
Linville , NC
Registered with this firm since 4/28/2009
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
6100 FAIRVIEW ROAD 9TH FLOOR, CHARLOTTE, NC 28211
Linville , NC
Registered with this firm since 4/28/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 12/31/2001 - 05/15/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) CHARLOTTE, NC
B
 07/31/1993 - 05/15/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) CHARLOTTE, NC
B
 09/26/1988 - 07/31/1993 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
B
 03/19/1982 - 09/28/1988 THE ROBINSON-HUMPHREY COMPANY INC. (CRD#:723)
B
 02/26/1979 - 03/25/1982 WHEAT, FIRST SECURITIES, INC. (CRD#:6124)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.