Arthur T. Hartung
Professional summary
Arthur Thomas Hartung is a registered financial professional currently at LOMBARD SECURITIES INCORPORATED located in Charleston, South Carolina.
Arthur is registered as a RR (Registered Representative) and started their career in finance in 1983. Arthur has worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Arthur Thomas Hartung's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 25, 2009 - Present
LOMBARD SECURITIES INCORPORATED
May 16, 2006 - June 19, 2009
PRINCIPAL SECURITIES, INC.
May 3, 2006 - June 19, 2009
PRINCIPAL SECURITIES, INC.
April 27, 2005 - April 6, 2006
EAGLE STRATEGIES LLC
January 13, 2005 - April 20, 2006
NYLIFE SECURITIES LLC
July 1, 2003 - November 23, 2004
WELLS FARGO CLEARING SERVICES, LLC
August 24, 2001 - November 23, 2004
WELLS FARGO CLEARING SERVICES, LLC
April 20, 1998 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
February 9, 1993 - April 17, 1998
AMERIPRISE ADVISOR SERVICES, INC.
April 1, 1992 - January 29, 1993
GRUNTAL & CO., L.L.C.
January 13, 1992 - April 29, 1992
AMERICAN GLOBAL WEALTH MANAGEMENT, INC.
September 1, 1988 - September 30, 1991
MERCHANTS SECURITIES, INC.
August 19, 1985 - March 1, 1988
BOWERS, THOMPSON & CO., INC.
November 6, 1983 - April 11, 1985
THE MILWAUKEE COMPANY
March 28, 1983 - November 15, 1983
EASTERN CAPITAL CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/2/2019)
(1/8/2024)
(6/25/2009)
(1/3/2017)
(6/25/2009)
Exams
Series 8
Date: 3/11/1994
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
LOMBARD SECURITIES INCORPORATED
CRD#: 27954 / SEC#: , 8-43340
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| REYNOLDS, EDWIN MAJOR JR | DIRECTOR, SHAREHOLDER, FIRM PRINCIPAL | 374634 |
| SOCHA, WILLIAM STEPHEN | CHIEF OPERATING OFFICER, OPERATIONS MANAGER, CROP, FINOP, DIRECTOR, SHAREHOLDER | 712323 |
| FOX, CHARLES CURTIS | CO-CEO, DIRECTOR, AND SHAREHOLDER | 1201770 |
| JONES, RUTH PORTER | DIRECTOR AND SHAREHOLDER | 842232 |
| PETER, EMIL III | SHAREHOLDER | |
| SLAGLE, BRIAN LEE | DIRECTOR AND SHAREHOLDER | 2895570 |
| DONLAN WELKER, TERRY LYNN | CHIEF COMPLIANCE OFFICER | 2825889 |
| OATES, DONALD EUGENE | DIRECTOR AND SHAREHOLDER | 1180250 |
| SONNIER, EDWARD DAVID II | DIRECTOR AND SHAREHOLDER | 2479370 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
| Bond | 4 |
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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