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AL

Arthur L. Loomis

Some features on this profile are disabled
CRD#: 1608844
AL

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 Laurence Loomis II was a registered financial professional .

Arthur is a previously registered financial professional and started their career in finance in 1987. Arthur had worked at 4 firms and has passed the Series 63, Series 7TO, Series 79TO, Series 99TO, SIE, Series 7, Series 14 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

July 28, 1993 - January 4, 2021

NORTHEAST CAPITAL & ADVISORY, INC.

BD
CRD#: 32117
LATHAM, NY
Past

May 6, 1993 - September 9, 1993

SAGE, RUTTY & CO., INC.

BD
CRD#: 3254
ROCHESTER, NY
Past

October 18, 1989 - December 31, 1992

GLEACHER & COMPANY SECURITIES, INC.

BD
CRD#: 298
NEW YORK, NY
Past

February 26, 1987 - February 7, 1989

RYAN BECK & CO.

BD
CRD#: 3248
FLORHAM PARK, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 4/3/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 3/5/2024
General Securities Representative Examination
General Industry/Product Exam
RR
Series 79TO
Date: 3/5/2024
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 3/5/2024
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/21/1987
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 3/5/2024
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/5/2024
General Securities Principal Examination

Current Firm

NC
NORTHEAST CAPITAL & ADVISORY, INC.
NORTHEAST CAPITAL & ADVISORY, INC. | NORTHEST CAPITAL MARKETS CORPS | NORTHEAST CAPITAL MARKETS CORP.

CRD#: 32117 / SEC#: , 8-46003

BD
Terminated by SEC on 02/10/2021
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 12/16/1992
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
LOOMIS & CO., INC.PARENT COMPANY
LOOMIS, ARTHUR LAURENCE IIPRESIDENT, CCO, CFO1608844

Disclosures

Regulatory Event1

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.

Company Information

NORTHEAST CAPITAL & ADVISORY, INC.

CRD#: 32117

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