Arnold J. Feist
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.
Arnold J Feist, who also goes by Arnold Feist, was a registered financial professional .
Arnold is a previously registered financial professional and started their career in finance in 1984. Arnold had worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 14 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 21, 2009 - April 30, 2020
INTERACTIVE BROKERS CORP.
July 19, 2006 - April 30, 2020
INTERACTIVE BROKERS LLC
October 10, 2005 - July 14, 2006
E*TRADE CLEARING LLC
February 28, 2005 - October 31, 2005
G1 EXECUTION SERVICES, LLC
March 27, 2001 - September 29, 2005
E*TRADE CLEARING LLC
December 5, 2000 - March 7, 2001
YAZAM.COM CAPITAL CORP.
December 3, 1999 - August 15, 2000
NEPTUNE SECURITIES FINANCE CORPORATION
May 10, 1996 - July 30, 1999
NATIONAL INVESTOR SERVICES CORP.
August 3, 1995 - July 30, 1999
TD AMERITRADE, INC.
April 13, 1994 - July 19, 1995
QUICK & REILLY, INC.
June 10, 1991 - April 19, 1994
FLEET CLEARING CORPORATION
September 21, 1984 - April 14, 1994
FLEET BROKERAGE 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 8
Date: 4/9/1985
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
INTERACTIVE BROKERS CORP.
CRD#: 117942 / SEC#: , 8-53615
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 3 |
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.
