AC
Arthur R. Chamberlain
MWA FINANCIAL SERVICES
Lewiston, ME 04240
Some features on this profile are disabled
CRD#: 1402373
AC
Professional summary
Arthur Robert Chamberlain, who also goes by Art Chamberlain, Arthur Robert Chamberlain Jr, is a registered financial advisor currently at MWA FINANCIAL SERVICES INC. located in Lewiston, Maine.
Arthur is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Arthur has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Art Chamberlain | Arthur Robert Chamberlain Jr
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1)Auburn-Lewiston Rotary noninv Auburn ME Rotary Club Chairman 1/17 9noninv 1inv Receives/reviews donation requests; recommend investments for scholarship fund - has no discretion over the investments in account or able to buy, sell or otherwise "manage" the investments.
CRS (Client Relationship Summary) - RIA
Click below to view Arthur Robert Chamberlain's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Arthur Robert Chamberlain's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
July 9, 2009 - Present
MWA FINANCIAL SERVICES INC.
Office #1: 184 Webster Street Suite 102, Lewiston, ME 04240RIA
BD
CRD#: 112630
Lewiston, ME
Current
May 12, 2009 - Present
MWA FINANCIAL SERVICES INC.
Office #1: 184 Webster Street Suite 102, Lewiston, ME 04240RIA
BD
CRD#: 112630
Lewiston, ME
Past
March 22, 2002 - February 27, 2009
LPL FINANCIAL LLC
RIA
CRD#: 6413
LEWISTON, ME
Past
March 20, 2002 - February 27, 2009
LPL FINANCIAL LLC
BD
CRD#: 6413
LEWISTON, ME
Past
August 21, 2000 - March 21, 2002
ADVEST, INC.
BD
CRD#: 10
HARTFORD, CT
Past
May 14, 1999 - August 24, 2000
KEYBANC CAPITAL MARKETS INC.
BD
CRD#: 566
CLEVELAND, OH
Past
April 29, 1999 - May 14, 1999
KEY INVESTMENTS INC.
BD
CRD#: 15873
CLEVELAND, OH
Past
August 1, 1996 - April 26, 1999
FIS SECURITIES, INC.
BD
CRD#: 30533
BOSTON, MA
Past
January 2, 1996 - August 1, 1996
CONSECO SECURITIES, INC.
BD
CRD#: 29367
CARMEL, IN
Past
February 28, 1994 - December 31, 1995
FORESIDE FUNDS DISTRIBUTORS LLC
BD
CRD#: 31334
PORTLAND, ME
Past
January 17, 1994 - March 4, 1994
VERAVEST INVESTMENTS, INC.
BD
CRD#: 3960
WORCESTER, MA
Past
January 3, 1994 - January 14, 1994
FIS SECURITIES, INC.
BD
CRD#: 30533
BOSTON, MA
Past
February 8, 1993 - December 31, 1993
VERAVEST INVESTMENTS, INC.
BD
CRD#: 3960
WORCESTER, MA
Past
August 16, 1985 - February 5, 1993
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
MF
MWA FINANCIAL SERVICES INC.
MWA FINANCIAL SERVICES INC. | MWA FINANCIAL SERVICES, INC.
CRD#: 112630 / SEC#: 801-107091, 8-53255
RIA
Registered Investment Advisory firm - SEC (1/4/2016 Approved)Alabama
Registered Investment Advisory firm - SEC (4/11/2016 Terminated)Arizona
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)California
Registered Investment Advisory firm - SEC (1/3/2010 Terminated)Colorado
Registered Investment Advisory firm - SEC (1/28/2016 Terminated)Florida
Registered Investment Advisory firm - SEC (1/26/2016 Terminated)Georgia
Registered Investment Advisory firm - SEC (2/12/2016 Terminated)Idaho
Registered Investment Advisory firm - SEC (12/1/2011 Terminated)Illinois
Registered Investment Advisory firm - SEC (1/20/2016 Terminated)Indiana
Registered Investment Advisory firm - SEC (1/29/2016 Terminated)Iowa
Registered Investment Advisory firm - SEC (1/28/2016 Terminated)Kansas
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)Louisiana
Registered Investment Advisory firm - SEC (12/18/2013 Terminated)Maine
Registered Investment Advisory firm - SEC (2/2/2016 Terminated)Maryland
Registered Investment Advisory firm - SEC (12/31/2015 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)Michigan
Registered Investment Advisory firm - SEC (2/2/2016 Terminated)Minnesota
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)Mississippi
Registered Investment Advisory firm - SEC (12/13/2013 Terminated)Nebraska
Registered Investment Advisory firm - SEC (1/20/2016 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (4/13/2016 Terminated)North Carolina
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)Ohio
Registered Investment Advisory firm - SEC (1/28/2016 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (12/12/2013 Terminated)South Dakota
Registered Investment Advisory firm - SEC (1/20/2016 Terminated)Tennessee
Registered Investment Advisory firm - SEC (3/29/2016 Terminated)Texas
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)Virginia
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (1/21/2016 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Connecticut(7/10/2013)
RR
Florida(5/12/2009)
RR
Georgia(3/1/2021)
RR
Iowa(10/21/2014)
RR
Maine(5/13/2009)
IAR
Maine(7/9/2009)
RR
Massachusetts(9/20/2013)
RR
Minnesota(9/24/2019)
RR
New Hampshire(5/13/2010)
IAR
New Hampshire(5/27/2015)
RR
New York(2/27/2024)
RR
Rhode Island(9/1/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
MF
MWA FINANCIAL SERVICES INC.
MWA FINANCIAL SERVICES INC. | MWA FINANCIAL SERVICES, INC.
CRD#: 112630 / SEC#: 801-107091, 8-53255
RIA
Registered Investment Advisory firm - SEC (1/4/2016 Approved)Alabama
Registered Investment Advisory firm - SEC (4/11/2016 Terminated)Arizona
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)California
Registered Investment Advisory firm - SEC (1/3/2010 Terminated)Colorado
Registered Investment Advisory firm - SEC (1/28/2016 Terminated)Florida
Registered Investment Advisory firm - SEC (1/26/2016 Terminated)Georgia
Registered Investment Advisory firm - SEC (2/12/2016 Terminated)Idaho
Registered Investment Advisory firm - SEC (12/1/2011 Terminated)Illinois
Registered Investment Advisory firm - SEC (1/20/2016 Terminated)Indiana
Registered Investment Advisory firm - SEC (1/29/2016 Terminated)Iowa
Registered Investment Advisory firm - SEC (1/28/2016 Terminated)Kansas
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)Louisiana
Registered Investment Advisory firm - SEC (12/18/2013 Terminated)Maine
Registered Investment Advisory firm - SEC (2/2/2016 Terminated)Maryland
Registered Investment Advisory firm - SEC (12/31/2015 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)Michigan
Registered Investment Advisory firm - SEC (2/2/2016 Terminated)Minnesota
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)Mississippi
Registered Investment Advisory firm - SEC (12/13/2013 Terminated)Nebraska
Registered Investment Advisory firm - SEC (1/20/2016 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (4/13/2016 Terminated)North Carolina
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)Ohio
Registered Investment Advisory firm - SEC (1/28/2016 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (12/12/2013 Terminated)South Dakota
Registered Investment Advisory firm - SEC (1/20/2016 Terminated)Tennessee
Registered Investment Advisory firm - SEC (3/29/2016 Terminated)Texas
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)Virginia
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (1/21/2016 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
1701 1st Avenue, Rock Island, IL 61201
Mailing Address
1701 1st Avenue, Rock Island, IL 61201
Phone number
(309) 558-3100
Established
Illinois since 02/02/2001
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
674
SEC notice filing (48 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MODERN WOODMEN OF AMERICA | PARENT CO. | |
| BOHNERT, LESTER LEE | DIRECTOR | 6933862 |
| DOYLE, SHEA EUGENE | SECRETARY/DIRECTOR | 4577202 |
| EIGENBROD, NEIL THOMAS | FINOP | 5615693 |
| JENSEN, DAWN M | CHIEF OPERATIONS OFFICER | 4936560 |
| LYPHOUT, JERALD JAMES | DIRECTOR | 4148959 |
| POGEMILLER, CLINT JOSEPH | PRESIDENT/CHAIRMAN | 2977743 |
| RECH, KELLIE MARIE | CHIEF COMPLIANCE OFFICER | 4863283 |
| SIMMS, CHARLES EDMUND | DIRECTOR | 2553306 |
| SWANSON, TODD DAVID | TREASURER | 4844282 |
| VAN, BRETT MATTHEW | DIRECTOR | 6543047 |
Regulatory assets under management
| Total Number of Accounts | 2,298 |
| AUM (Assets Under Management) | $ 376,859,066 |
Disclosures
| Regulatory Event | 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.
