Arthur B. Bahlav
Professional summary
Arthur Bruce Bahlav was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Arthur is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, Arthur had worked at 4 firms, which includes SFI INVESTMENTS INC., EMANUEL AND COMPANY, LEHMAN BROTHERS INC., MCLAUGHLIN PIVEN VOGEL SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 1, 1988 - December 19, 1997
SFI INVESTMENTS, INC.
November 10, 1987 - November 25, 1988
EMANUEL AND COMPANY
February 13, 1986 - September 28, 1987
LEHMAN BROTHERS INC.
October 19, 1983 - February 19, 1986
MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.
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
Current Firm
SFI INVESTMENTS, INC.
CRD#: 21663 / SEC#: , 8-39151
Contact information
Documents
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.
