Arthur R. Oswald
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.
Arthur Robert Oswald, who also goes by Art Oswald, was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 1983. Arthur had worked at 9 firms and has passed the Series 63, Series 82TO, SIE, Series 7, Series 10, Series 9, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 26, 2022 - October 15, 2024
TERRANOVA CAPITAL EQUITIES, INC
October 10, 2014 - October 27, 2020
TERRANOVA CAPITAL EQUITIES, INC
September 9, 2010 - April 20, 2011
SAL EQUITY TRADING, GP
November 6, 2009 - March 20, 2013
SUSQUEHANNA FINANCIAL GROUP, LLLP
March 17, 2009 - October 16, 2009
WOOD (ARTHUR W.) COMPANY, INC.
December 9, 2008 - February 26, 2009
LEDGEMONT CAPITAL MARKETS LLC
August 13, 2004 - February 20, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 26, 1999 - February 20, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 14, 1996 - July 15, 1999
JPMSI
June 21, 1996 - September 19, 1996
ROBERTSON, STEPHENS & COMPANY LLC
April 27, 1992 - July 10, 1996
JPMSI
September 17, 1983 - April 4, 1992
DEUTSCHE BANK 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
Series 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsSeries 8
Date: 7/10/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
TERRANOVA CAPITAL EQUITIES, INC
CRD#: 45097 / SEC#: , 8-50973
Contact information
FINRA licenses (39 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
Red Flags
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