Fernando L. Artaud
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.
Fernando Luis Artaud was a registered financial professional .
Fernando is a previously registered financial professional and started their career in finance in 1982. Fernando had worked at 10 firms and has passed the Series 63, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 7, 2007 - September 18, 2012
NOBLE CAPITAL MARKETS, INC.
October 21, 2002 - August 6, 2007
FTN EQUITY CAPITAL MARKETS CORP.
September 19, 2001 - October 21, 2002
FHN FINANCIAL SECURITIES CORP.
April 4, 2000 - July 9, 2001
UBS SECURITIES LLC
January 2, 1997 - March 13, 2000
ABN AMRO INCORPORATED
February 29, 1996 - January 2, 1997
THE CHICAGO CORPORATION
February 28, 1996 - January 2, 1997
THE CHICAGO CORPORATION
May 6, 1993 - March 11, 1996
RAUSCHER PIERCE REFSNES, INC.
July 25, 1988 - August 8, 1990
MORGAN KEEGAN & COMPANY, LLC
July 7, 1988 - July 25, 1988
DAIWA CAPITAL MARKETS AMERICA INC.
January 22, 1982 - February 22, 1986
FIRST MANHATTAN SECURITIES LLC
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 8
Date: 3/11/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
NOBLE CAPITAL MARKETS, INC.
CRD#: 15768 / SEC#: , 8-32706
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 9 |
| Arbitration | 11 |
Red Flags
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