James K. Arnott
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.
James Keith Arnott, who also goes by Keith Arnott, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1982. James had worked at 5 firms and has passed the Series 63, SIE, Series 55, Series 3, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 26, 2012 - January 22, 2019
MKM PARTNERS LLC
September 10, 2007 - November 19, 2012
ROCHDALE SECURITIES LLC
May 22, 2001 - June 11, 2007
PRUDENTIAL EQUITY GROUP, LLC
December 4, 2000 - May 9, 2001
UBS SECURITIES LLC
April 22, 1982 - December 4, 2000
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 55
Date: 8/23/2006
Limited Representative-Equity Trader ExamCurrent Firm
MKM PARTNERS LLC
CRD#: 114666 / SEC#: , 8-53436
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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