FIRST GEORGETOWN SECURITIES, INC. of ALEXANDRIA, VA is an SEC-registered investment adviser (CRD 5871). Regulatory assets under management: $115.7M.
Compensation: % of AUM.
Clients served: High net worth.
| Name | Role | Location |
|---|---|---|
| HARRIS LONNIE WILLIAM | CHIEF COMPLIANCE OFFICER | — |
| MANN ROBERT TAYLOR | PRESIDENT; PRESIDENT, CHIEF COMPLIANCE OFFICER; PRESIDENT, CHIEF COMPLIANCE OFFICER, CROP, SROP | — |
| Robert Taylor Mann | PRESIDENT | — |
| Charles William Harris | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 1998-05-22 | civil | ALTHOUGH PLAINTIFF WISHED TO PURSUE SHORT TERM TRADING STRATEGIES, AND DID SO FOR SEVERAL YEARS, HE SUED FIRM WHEN HIS ACCOUNT WAS AT A LOW POINT. HE ALLEGED $325,000 IN DAMAGES. | Final | $175K |
| 1994-03-08 | regulatory | STATE CHARGED THAT RESPONDENT HAD CONDUCTED UNSOLICITED TRANSACTIONS WITH CUSTOMERS IN THE STATE WITHOUT HAVING FIRST REGISTERED AS A BROKER-DEALER IN THE STATE. | Final | $7K |
| 1994-03-08 | regulatory | STATE CHARGED THAT FIRM CONDUCTED UNSOLICITED TRANSACTIONS WITH CUSTOMERS WITHOUT FIRST BEING REGISTERED IN MA. | Final | $7K |