Scott 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.
Scott Lee Arnold was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1985. Scott had worked at 5 firms and has passed the Series 63, Series 7, Series 6, Series 28 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 30, 1991 - April 28, 1993
CAPITAL RESOURCES, INC.
July 30, 1990 - September 20, 1991
SECURITIES AMERICA, INC.
October 21, 1987 - August 3, 1990
H.J. MEYERS & CO., INC.
October 2, 1986 - November 3, 1987
MSI FINANCIAL SERVICES, INC.
December 9, 1985 - October 19, 1987
METROPOLITAN LIFE INSURANCE 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 28
Date: 9/5/1991
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
CAPITAL RESOURCES, INC.
CRD#: 16899 / SEC#: , 8-34710
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
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.
