James S. 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 Scott Arnold JR, who also goes by James Scott Arnold, Jim Arnold, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1986. James had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6 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
August 16, 2024 - November 12, 2024
PURSHE KAPLAN STERLING INVESTMENTS
May 22, 2023 - November 11, 2024
MERIT FINANCIAL ADVISORS
May 19, 2023 - August 16, 2024
LPL FINANCIAL LLC
July 17, 2020 - May 23, 2023
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
July 17, 2020 - May 23, 2023
CAMBRIDGE INVESTMENT RESEARCH, INC.
January 1, 2004 - July 24, 2020
VOYA FINANCIAL ADVISORS, INC.
January 1, 2004 - July 24, 2020
VOYA FINANCIAL ADVISORS, INC.
January 29, 2003 - January 1, 2004
LOCUST STREET SECURITIES, INC.
June 21, 2001 - November 29, 2002
VESTAX SECURITIES CORPORATION
January 22, 1991 - January 1, 2004
LOCUST STREET SECURITIES, INC.
November 24, 1986 - June 14, 1990
NYLIFE SECURITIES LLC
State Registrations and Notice Filings
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Exams
Current Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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