James L. 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.
James Lemont Arnold was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1985. James had worked at 4 firms and has passed the Series 63, Series 65, SIE, Series 2 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 6, 2007 - August 2, 2019
SECURITY DISTRIBUTORS
August 31, 2000 - August 17, 2007
SECURITY DISTRIBUTORS
April 10, 2000 - July 24, 2000
CITISTREET EQUITIES LLC
July 1, 1996 - March 31, 2000
NATIONWIDE INVESTMENT SERVICES CORPORATION
September 21, 1992 - July 1, 1996
NATIONWIDE SECURITIES, LLC
May 14, 1985 - December 21, 1987
NATIONWIDE SECURITIES, LLC
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 2
Date: 9/19/1996
Non-Member General Securities ExaminationCurrent Firm
SECURITY DISTRIBUTORS
CRD#: 3336 / SEC#: , 8-10781
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITY BENEFIT LIFE INSURANCE COMPANY | MEMBER | |
| AULETA, KURT EUGENE | SENIOR VICE PRESIDENT, SALES MANAGER WEST | 2463399 |
| BISHOP, COLIN WILLIAM | CFO, TREASURER & FINOP | 7787724 |
| BYRNES, DAVID GERARD | PRESIDENT & HEAD OF DISTRIBUTION | 1318905 |
| CARR, MARK JOSEPH | ASSISTANT VICE PRESIDENT | 2833346 |
| GARHART, GREGORY CHRISTOPHER | ASSISTANT VICE PRESIDENT, CHIEF COMPLIANCE OFFICER & AML COMPLIANCE OFFICER | 5118892 |
| HILL, CARMEN RENEE | VICE PRESIDENT & ASSISTANT SECRETARY | 2646887 |
| JACQUINOT, JUSTIN ABER | SENIOR VICE PRESIDENT, DIRECT RELATIONSHIPS | 4437252 |
| KILEY, JAMES J | SENIOR VICE PRESIDENT, EDUCATION MARKET & AFFILIATES | 1278905 |
| LACEY, SUSAN JANELLE | ASSISTANT TREASURER | 4930469 |
| MAGHINI, MICHAEL THOMAS | SENIOR VICE PRESIDENT, NATIONAL ACCOUNTS | 1239692 |
| REIDY, MICHAEL KEVIN | SENIOR VICE PRESIDENT | 1323936 |
| ROCHA, MATTHEW VINCENT | SENIOR VICE PRESIDENT, SALES MANAGER EAST | 5207062 |
| TALLEN, AARON MARSHAL | SECOND VICE PRESIDENT, HEAD OF DISTRIBUTION OPERATIONS & 401K DEFINED CONTRIBUTIONS | 4455856 |
| WILEY, DONALD ANDREW | VICE PRESIDENT | 1132196 |
| YOUNG, LISA MICHELLE | ASSISTANT TREASURER | 2596425 |
Disclosures
| Regulatory Event | 5 |
Red Flags
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