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Scott R. Arnold

NEWOAK CAPITAL MARKETS LLC
New York, NY 10019
Some features on this profile are disabled
CRD#: 1175067
SA

Professional summary

Scott Robert Arnold is a registered financial professional currently at NEWOAK CAPITAL MARKETS LLC located in New York, New York.

Scott is registered as a RR (Registered Representative) and started their career in finance in 1983. Scott has worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 3 and Series 5 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Scott Robert Arnold's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

May 15, 2019 - Present

NEWOAK CAPITAL MARKETS LLC

Office #1: 3 Columbus Circle 15th Fl., New York, NY, 10019
BD
CRD#: 104063
New York, NY
Past

July 7, 2005 - May 25, 2007

SOURCE CAPITAL GROUP, INC.

BD
CRD#: 36719
WESTPORT, CT
Past

December 1, 2001 - June 10, 2002

SOURCE CAPITAL GROUP, INC.

BD
CRD#: 36719
WESTPORT, CT
Past

June 1, 2000 - December 1, 2001

MERIT CAPITAL ASSOCIATES, INC.

BD
CRD#: 30576
WESTPORT, CT
Past

March 10, 1998 - June 3, 1999

B. C. ZIEGLER AND COMPANY

BD
CRD#: 61
CHICAGO, IL
Past

July 29, 1997 - February 19, 1998

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

August 6, 1991 - July 21, 1997

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

August 24, 1990 - June 5, 1991

DB ALEX. BROWN LLC

BD
CRD#: 17790
BALTIMORE, MD
Past

May 20, 1987 - April 18, 1989

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
Past

September 21, 1983 - March 9, 1987

SALOMON BROTHERS INC.

BD
CRD#: 740

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Connecticut
(5/15/2019)
RR
New York
(5/15/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 1/11/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/11/2019
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/10/2019
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 11/1/2013
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 5
Date: 12/22/1983
Interest Rate Options Examination
SRO Registrations
RR
FINRA

Current Firm

NC
NEWOAK CAPITAL MARKETS LLC
GIORDANO - DELLA CAMERA SECURITIES LLC | NEWOAK CAPITAL MARKETS LLC | J. GIORDANO SECURITIES LLC | J. GIORDANO SECURITIES | J GIORDANO SECURITIES LLC | J GIORDANO SECURITIES GROUP | J GIORDANO SECURITIES | GIORDANO DELLACAMERA SECURITIES LLC

CRD#: 104063 / SEC#: , 8-52532

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
3 Columbus Circle 15th Fl., New York, NY, 10019
Mailing Address
3 Columbus Circle 15th Fl., New York, NY, 10019
Phone number
(212) 209-0850
Established
Delaware since 12/30/1999
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (9 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
NEWOAK SECURITIES HOLDINGS LLCMEMBER
COHEN, EDWARD BARRYPFO1029283
D'VARI, RONPOO4507652
D'VARI, RONCO-CHIEF COMPLIANCE OFFICER, ROSFP, AMLCO4507652
D'VARI, RONCEO4507652
DALISO, SALVATORE ANTHONYCO-CHIEF COMPLIANCE OFFICER, ROSFP, AMLCO710079

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.

Company Information

NEWOAK CAPITAL MARKETS LLC

CRD#: 104063New York, NY 10019

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