Arthur C. Nuttall
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Arthur Carl Nuttall was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 1982. Arthur had worked at 6 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 9, 2007 - August 26, 2013
THE INVESTMENT CENTER, INC.
June 24, 2004 - August 1, 2005
METROPOLITAN LIFE INSURANCE COMPANY
June 24, 2004 - August 1, 2005
MSI FINANCIAL SERVICES, INC.
August 16, 1991 - July 23, 2004
MML INVESTORS SERVICES, LLC
February 17, 1983 - January 21, 1992
EQUITABLE ADVISORS, LLC
February 17, 1982 - January 21, 1992
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
THE INVESTMENT CENTER, INC.
CRD#: 17839 / SEC#: , 8-35826
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 8 |
| Arbitration | 5 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
