Arthur S. Derfall
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.
Arthur Stuart Derfall, who also goes by Arthur Stuart Derfell, was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 1985. Arthur had worked at 4 firms and has passed the Series 63, Series 3 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
April 29, 1999 - December 31, 2002
ADVISOR'S CAPITAL INVESTMENTS INC,
April 4, 1989 - December 31, 1989
COMMONWEALTH FINANCIAL NETWORK
November 18, 1987 - December 13, 1988
W.A. ROGERS SECURITIES, INC.
February 27, 1985 - December 12, 1987
E. F. HUTTON & COMPANY 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
ADVISOR'S CAPITAL INVESTMENTS INC,
CRD#: 104811 / SEC#: 801-26679
Contact information
Regulatory assets under management
| Total Number of Accounts | 43 |
| AUM (Assets Under Management) | $ 841,000 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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