CA
Charles K. Arnold
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CRD#: 1238136
CA
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.
Charles Kingston Arnold was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1984. Charles had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
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.
ARNOLD FINANCIAL SERVICES POSITION: agent NATURE: Fixed Insurance & trusts & notary INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 12/31/1974 ADDRESS: 2209 Barcelona Court, PO Box 1120, Brentwood CA 94513 DESCRIPTION: Sales and service of fixed insurance products Assistance in preparation and notarization of revocable trusts under attorney supervision ARNOLD FINANCIAL SERVICES POSITION: Meet with clients NATURE: Trust production under attorney superevision with notarization INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 12/31/1986 ADDRESS: PO Box 1120, 2209 Barcelona Court, Brentwood CA 945413 DESCRIPTION: I meet with clients & complete questionnaire and submit to attorney for review. Trust documents are prepared and I meet with clients to sign off on documents and to notarize their signatures ARNOLD FINANCIAL SERVICES POSITION: I run it NATURE: Revocable trusts, under attorney supervision INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 01/01/1987 ADDRESS: 2209 Barcelona Court, PO Box 1120, Brentwood CA 94513 DESCRIPTION: I meet with clients, generally in their home. We have discussion re estate plnanning desires. I guide them through non-legal questionnaire. I send to attorney with check payable to attorney for legal review and trust paperwork provider. I deliver trust to client. I review same with client. They sign. I notarize. They pay me share, $805 - $1,500 total JEHOVAH TSIDKENU POSITION: I run it NATURE: Jehovah Tsidkenu is an S-Corp. My wife and I are eqfual partners INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 12/31/1995 ADDRESS: 2209 Barcelona Court, PO Box 1120, Brentwood CA 94513 DESCRIPTION: Jehovah Tsidkenu is an S-Corp recommended by my CPA circa 1996. Income from all activities flows up to Jehovah Tsidkenu. Bills are paid...K-1's are issued per my accountant ARBOR POINT ADVISORS POSITION: Managing portfolios NATURE: ARBOR POINT ADVISORS INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 80 START DATE: 10/01/2016 ADDRESS: 2209 Barcelona Court, PO Box 1120, Brentwood CA 94513, United States DESCRIPTION: I meet with clients, discuss their investment temperament, build a portfolio based on ETFs; then implement and manage the portfolio
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
October 18, 2016 - July 20, 2022
ARBOR POINT ADVISORS
RIA
CRD#: 165127
BRENTWOOD, CA
Past
October 17, 2016 - July 20, 2022
SECURITIES AMERICA, INC.
BD
CRD#: 10205
BRENTWOOD, CA
Past
February 28, 2012 - September 29, 2016
CETERA ADVISORS LLC
RIA
CRD#: 10299
BRENTWOOD, CA
Past
February 28, 2012 - September 29, 2016
CETERA ADVISORS LLC
BD
CRD#: 10299
BRENTWOOD, CA
Past
September 2, 2010 - February 28, 2012
PACIFIC WEST FINANCIAL CONSULTANTS INC
RIA
CRD#: 108728
RENTON, WA
Past
September 1, 2010 - February 28, 2012
PACIFIC WEST SECURITIES, INC.
BD
CRD#: 6390
RENTON, WA
Past
November 1, 2000 - September 1, 2010
PROTECTED INVESTORS OF AMERICA
RIA
CRD#: 6082
PLEASANTON, CA
Past
February 28, 1997 - September 1, 2010
PROTECTED INVESTORS OF AMERICA
BD
CRD#: 6082
PLEASANTON, CA
Past
June 30, 1995 - March 10, 1997
SECURITIES AMERICA, INC.
BD
CRD#: 10205
LAVISTA, NE
Past
April 6, 1988 - July 7, 1995
PROTECTED INVESTORS OF AMERICA
BD
CRD#: 6082
SAN FRANCISCO, CA
Past
March 6, 1987 - April 5, 1988
CERTIFIED EQUITIES INCORPORATED
BD
CRD#: 15257
Past
March 23, 1984 - May 2, 1987
FINANCIAL PLANNERS EQUITY CORPORATION
BD
CRD#: 7420
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
AP
ARBOR POINT ADVISORS
2020 WEALTH MANAGEMENT GROUP | WOOLFREY FINANCIAL CONSULTING | WISE RETIREMENT STRATEGIES 100 | WEALTHMINT | WARNKE FINANCIAL SERVICES | WALL FINANCIAL | VIAQUEST FINANCIAL GROUP | TRUE ALTITUDE WEALTH MANAGEMENT | TRIDEA ADVISORS | THE O`HAGAN GROUP | THE HART GROUP | TETRALOGY FINANCIAL PLANNING GROUP | SYNTEGRA PRIVATE WEALTH GROUP | SYKTICH FINANCIAL, LLC | SUMNER FINANCIAL | STRICKLER AND MOORMEIER | STORM FISCHER INVESTMENT GROUP | SLADKO ASSET MANAGEMENT | SECURE FINANCIAL CORP | SCOUT ASSET MANAGEMENT | SCHROEDER WEALTH ADVISORS | SABRE FINANCIAL SERVICES | RIVER ROCK WEALTH ADVISORY | RED CEDAR WEALTH ADVISORS | RED CEDAR WEALTH | RD FINANCIAL | QUANTUM PARTNERS, LLC | PROCEL FINANCIAL | PRESTIGE WEALTH MANAGEMENT | PREMIER WEALTH MANAGEMENT GROUP | PINNACLE ASCENT WEALTH MANAGEMENT | PILLAR FINANCIAL ADVISORS | PIERSON FINANCIAL GROUP | PADDEN FINANCIAL SERVICES | ONMARK ASSET MANAGEMENT | NW INVESTMENT AND RETIREMENT GROUP | NORTHWEST INVESTMENT & RETIREMENT GROUP | NORTHWEST CAPITAL | NIEMI FINANCIAL SERVICES | MICHIGAN 4N/A1K COUNSULTANTS | MFR | MAYBURY FINANCIAL | MA FINANCIAL PLANNING | LION FINANCIAL ADVISORS | LEVEQUE FINANCIAL SERVICES | LEGACY WEALTH MANAGEMENT | LEGACY CAPITAL MANAGEMENT | LARSON FINANCIAL SERVICES | KRONOS WEALTH MANAGEMENT | KONTY FINANCIAL SERVICES | KOLEY FINANCIAL/LEGAL | KOLEY FINANCIAL / LEGAL | KOLEY FINANCIAL | KOENIG FINANCIAL GROUP | KIRKLAND FINANCIAL ADVISERS | KIMBLER FINANCIAL | KERINS HENDRICKSON WEALTH MANAGEMENT | KARL J. KORADE, CPA CDFA | JMS FINANCIAL SOLUTIONS LLC | INCOMEMAX, LLC | HIGHLAND CAPITAL BROKERAGE | HERITAGE PRIVATE WEALTH MANAGEMENT | HARBOR FINANCIAL ADVISORS | GUGGER ASSET MANAGEMENT | GOTTIER INVESTMENTS | GOLDSTEIN ADVISORS | GOLDSTEIN & ASSOCIATES | GLEASON FINANCIAL GROUP | GEORGE W. HOOK III FINANCIAL SERVICES | GAULDEN WEALTH MANAGEMENT | GAULDEN & ASSOCIATES | GALBRAITH FINANCIAL SERVICES | FULL CIRCLE WEALTH MANAGEMENT | FREEDOM POINT FINANCIAL | FORTRESS WEALTH ADVISORS | FINANCIAL SOLUTIONS | FARRELL FINANCIAL | ETON FINANCIAL SERVICES | EMERALD CITY FIDUCIARY GROUP | ECHELON GROUP | DWIGHT O'HARA INVESTMENT SERVICES | DOSS ASSET ADVISORS | DIAMONDBACK FINANCIAL SERVICES, LLC | DIAMOND FINANCIAL PARTNERS | DELTA FINANCIAL GROUP (DFG) | DELMARVA FINANCIAL GROUP | CVACH FINANCIAL SERVICES | CTM FINANCIAL GROUP, LLC | CTM FINANCIAL GROUP | CREATIVE FINANCIAL PARTNERS | CORINTHIAN WEALTH MANAGEMENT | COPIA WEALTH MANAGEMENT | COMMONWEALTH FINANCIAL SERVICES | COLLIER SUSTAINABLE WEALTH MANAGEMENT | CITY FIDUCIARY GROUP | CAPITAL INCOME ADVISORS | CAPITAL & BUSINESS PLANNING | CADENT WEALTH MANAGEMENT | CA FINANCIAL SERVICES | BRODE FINANCIAL GROUP | BRIGGS FINANCIAL SERVICES | BLAKE GALLION, CFP | BELLEAIR FINANCIAL SERVICES | BASECAMP INVESTMENTS | BAIKIE AND ALCANTARA | ARNOLD FINANCIAL SERVICES | ARMSTRONG FINANCIAL PARTNERS | ARM WEALTH MANAGEMENT | ARBOR POINT ADVISORS, LLC | ARBOR POINT ADVISORS | ARBOR GROUP ADVISORS | ANNA C. WINSLOW, CPA | AILERON WEALTH MANAGEMENT | AFG FINANCIAL | AEON WEALTH MANAGEMENT | AB WEALTH MANAGEMENT | A. GAINES FINANCIAL
CRD#: 165127 / SEC#: 801-77135
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Contact information
Main Address
12325 Port Grace Blvd., Lavista, NE 68128
Mailing Address
Phone number
(888) 777-1992
Established
Firm type
Fiscal year end
# of Employees
2,643
Regulatory assets under management
| Total Number of Accounts | 28,010 |
| AUM (Assets Under Management) | $ 6,929,575,682 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2024 | ||
| 12/21/2022 |
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.
