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Anthony Louis Arnerich

CRD# 1203062·Registered 1983 - 2005
Previously Registered: Being a previously registered professional could mean that Anthony 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.

Professional Summary

Anthony Louis Arnerich was a registered financial advisor. Anthony was a previously registered financial professional and started their career in finance 1983 - 2005. Anthony had worked at 5 firms and has passed the Series 63, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

43 years in the financial services industry

Current & Past Employments

AM&A SECURITIES, INC.·CRD# 29458
BD
Portland, OR
February 19, 1992 - January 28, 2005
ARNERICH MASSENA, INC.·CRD# 116395
RIA
Portland, OR
January 15, 1992 - December 31, 2020
DAIN RAUSCHER INCORPORATED·CRD# 7600
BD
September 19, 1986 - October 28, 1991
BOETTCHER & COMPANY, INC.·CRD# 101
BD
June 12, 1984 - September 15, 1986
LEHMAN BROTHERS INC.·CRD# 7506
BD
December 16, 1983 - June 13, 1984

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Current Firm

AS
AM&A SECURITIES, INC.

AM&A SECURITIES, INC.

CRD#: 29458 / SEC#: 8-44349
BD
Terminated by SEC on 03/04/2005

Contact Information

Established

Oregon since 10/25/1991

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
AM&A HOLDINGS, INC.PARENT COMPANY—
ARNERICH, ANTHONY LOUISPRESIDENT1203062
ARNERICH, CHRISTINE ANNEVICE PRESIDENT2198369
JOHNSON, MARY MALINESECRETARY2456076
WORTHINGTONRUPPELT, MICHELLE KAYCOMPLIANCE DIRECTOR1287084

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Dec 1983About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Nov 1983About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Jan 1992About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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