Andrew Arno
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.
Andrew Arno, who also goes by Andrew (nmn) Arno, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1981. Andrew had worked at 9 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 19, 2021 - March 8, 2023
DAWSON JAMES SECURITIES, INC.
May 22, 2019 - March 22, 2021
BRADLEY WOODS & CO. LTD.
July 1, 2015 - May 21, 2019
CHARDAN CAPITAL MARKETS LLC
June 29, 2013 - July 11, 2015
EMERGING GROWTH EQUITIES, LTD.
May 23, 2012 - April 30, 2013
BLV SECURITIES
September 17, 2009 - January 10, 2011
MERRIMAN CAPITAL, INC.
November 20, 1989 - November 12, 2008
CANACCORD GENUITY SECURITIES LLC
January 26, 1987 - December 8, 1989
LEHMAN BROTHERS INC.
November 25, 1981 - February 10, 1987
L. F. ROTHSCHILD & CO. INCORPORATED
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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
DAWSON JAMES SECURITIES, INC.
CRD#: 130645 / SEC#: , 8-66367
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 12 |
| Civil Event | 1 |
| Arbitration | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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