Arthur W. Kishpaugh
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 Winfield Kishpaugh III was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 1983. Arthur had worked at 10 firms and has passed the Series 63, Series 55, Series 7 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 29, 2009 - December 16, 2010
W.A. CAPITAL MARKETS
March 24, 2009 - November 2, 2009
LIGHTHOUSE FINANCIAL GROUP, LLC
September 23, 2008 - March 12, 2009
FORGE FINANCIAL GROUP, INC.
July 23, 2007 - September 22, 2008
VIEWTRADE SECURITIES, INC.
October 20, 2006 - July 16, 2007
STG SECURE TRADING GROUP, INC.
November 15, 2000 - September 26, 2006
VIEWTRADE SECURITIES, INC.
October 22, 1999 - November 20, 2000
BARRON CHASE SECURITIES, INC.
April 3, 1997 - November 19, 1999
WOODSTOCK FINANCIAL GROUP, INC.
January 4, 1995 - April 7, 1997
RENAISSANCE FINANCIAL SECURITIES CORP.
June 10, 1993 - December 31, 1994
ROBERT TODD FINANCIAL CORP.
November 22, 1983 - June 9, 1993
BISHOP, ROSEN & CO., 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 55
Date: 4/28/2000
Limited Representative-Equity Trader ExamCurrent Firm
W.A. CAPITAL MARKETS
CRD#: 6292 / SEC#: , 8-16871
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MURPHY, RICHARD JAMES | REGISTERED OPTIONS PRINCIPAL (SROP) | 1016183 |
| MURPHY, RICHARD JAMES | GENERAL PARTNER | 1016183 |
| GEM NEW YORK, LLC | GENERAL PARTNER | |
| MILLAR, DOUGLAS MACARTHUR | CHIEF COMPLIANCE OFFICER | 1631198 |
| MURPHY, GLORIA E | LIMITED PARTNER | 3150528 |
| PETRI, RICHARD THOMAS | FINANCIAL & OPERATIONS PRINCIPAL | 3039438 |
Disclosures
| Regulatory Event | 29 |
| Arbitration | 2 |
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.
