Arthur P. Bartholomew
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 Peck Bartholomew III, who also goes by Arthur Peck Bartholomew, Buzz Bartholomew, was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 1970. Arthur had worked at 11 firms and has passed the Series 63, Series 5, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 12, 1995 - March 29, 1996
BROOKSTREET SECURITIES CORPORATION
April 15, 1993 - June 8, 1994
GOLDEN GATE SECURITIES LLC
January 2, 1991 - December 24, 1992
BROOKSTREET SECURITIES CORPORATION
August 20, 1990 - December 14, 1992
THE TRADING DESK, INC.
August 2, 1988 - June 14, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
March 30, 1987 - January 4, 1988
MOSELEY SECURITIES CORPORATION
July 21, 1986 - April 10, 1987
CIBC WORLD MARKETS CORP.
April 23, 1985 - November 5, 1986
CORNWALL, ABBOTT & GRAY, INC.
August 12, 1983 - July 24, 1986
SAINT ANTHONY SECURITIES, INC.
July 31, 1981 - July 19, 1982
E. F. HUTTON & COMPANY INC
January 3, 1977 - June 17, 1981
CANTOR FITZGERALD & CO.
December 11, 1970 - August 29, 1971
CAPITAL SECURITIES COMPANY
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 5
Date: 10/12/1981
Interest Rate Options ExaminationSeries 1
Date: 12/3/1970
Registered Representative ExaminationCurrent Firm
BROOKSTREET SECURITIES CORPORATION
CRD#: 14667 / SEC#: , 8-31032
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROOKS FAMILY TRUST, STANLEY BROOKS TRUSTEE | SHAREHOLDER / OWNER | |
| BROOKS, STANLEY CLIFTON | PRESIDENT AND TRUSTEE OF BROOKSTREET FAMILY TRUST | 31684 |
Disclosures
| Regulatory Event | 25 |
| Civil Event | 1 |
| Arbitration | 22 |
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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