Mark E. Arnold
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.
Mark Edward Arnold was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1984. Mark had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 5, 2014 - February 18, 2015
COBALT CAPITAL, INC.
July 11, 2013 - September 26, 2013
DELTA SECURITIES COMPANY, LLC
January 6, 2006 - December 31, 2015
CERTIFIED ADVISORY CORP
January 5, 2006 - December 31, 2015
SIGNATURE ESTATE SECURITIES, LLC
September 12, 2003 - December 31, 2005
COMMONWEALTH FINANCIAL NETWORK
July 31, 2003 - December 31, 2005
COMMONWEALTH FINANCIAL NETWORK
November 2, 2001 - July 31, 2003
NEWPORT GROUP SECURITIES, INC.
June 24, 1992 - July 31, 2003
NEWPORT GROUP SECURITIES, INC.
November 1, 1988 - January 8, 1991
CBL EQUITIES, INC.
November 13, 1987 - August 29, 1988
HIMCO DISTRIBUTION SERVICES COMPANY
November 21, 1984 - October 13, 1987
OLD SLIP CAPITAL MANAGEMENT, 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
COBALT CAPITAL, INC.
CRD#: 136161 / SEC#: , 8-66979
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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