Arthur N. Berry
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 Norman Berry, who also goes by Art Berry, was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 1994. Arthur had worked at 5 firms and has passed the Series 63, Series 7, Series 3 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
March 20, 1997 - May 3, 2000
LLOYD WADE SECURITIES INC.
October 30, 1996 - December 9, 1996
CENTEX SECURITIES, INCORPORATED
May 3, 1996 - November 12, 1996
DEL MAR FINANCIAL SERVICES, INCORPORATED
January 4, 1996 - April 23, 1996
PACIFIC CORTEZ SECURITIES INCORPORATED
October 30, 1995 - January 25, 1996
T.L. GROUP, INC.
August 9, 1994 - September 13, 1995
PACIFIC CORTEZ SECURITIES INCORPORATED
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
Current Firm
LLOYD WADE SECURITIES INC.
CRD#: 39653 / SEC#: , 8-48781
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 9 |
| Arbitration | 6 |
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.
