Arnold Arcus
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 Arcus was a registered financial professional .
Arnold is a previously registered financial professional and started their career in finance in 1985. Arnold had worked at 9 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 12, 1999 - January 12, 2000
US TRADING LLC
July 20, 1995 - February 4, 1998
VISTA SECURITIES INC.
January 14, 1993 - July 17, 1995
KERN, SUSLOW SECURITIES, INC.
December 10, 1991 - September 30, 1992
SCHONFELD SECURITIES, LLC
September 21, 1989 - May 14, 1991
STUART, COLEMAN & CO., INC.
March 9, 1989 - April 25, 1990
ALLEGIANCE SECURITIES, INC.
February 5, 1988 - May 24, 1988
LITCHFIELD FINANCIAL CORP.
January 15, 1987 - February 4, 1988
MOSTEL & TAYLOR SECURITIES INC.
July 5, 1985 - July 23, 1987
UNIVERSAL SECURITIES OF AMERICA, 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
Current Firm
US TRADING LLC
CRD#: 37426 / SEC#: , 8-47729
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CARLIN GROUP LLC | OWNER OF US TRADING LLC | |
| COAKLEY, JOHN JOSEPH | ROP | 1852324 |
| COAKLEY, JOHN JOSEPH | SROP | 1852324 |
| COAKLEY, JOHN JOSEPH | CROP | 1852324 |
| FROMMER, JEREMY PHILLIP | PRESIDENT/ COO | 2099159 |
| KORNFELD, LYNDA ANN | CHIEF COMPLIANCE OFFICER | 3162347 |
| RISI, SALVATORE ANTHONY | FIN-OP | 1072513 |
| RONAN, DENNIS MICHAEL | ORDER ROOM MANAGER | 1020860 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
