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BS

Brent A. Seil

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CRD#: 1663585
BS

Professional summary

Brent Allen Seil was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Brent is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Brent had worked at 4 firms, which includes ARQUE CAPITAL LTD., FOX & COMPANY INVESTMENTS INC., MML INVESTORS SERVICES LLC, AMERICAN NETWORK SECURITIES CORP..

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

December 4, 2008 - December 11, 2008

ARQUE CAPITAL, LTD.

BD
CRD#: 121192
SCOTTSDALE, AZ
Past

November 29, 1991 - December 4, 2008

FOX & COMPANY INVESTMENTS INC.

BD
CRD#: 18517
SCOTTSDALE, AZ
Past

November 10, 1989 - November 19, 1990

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
SPRINGFIELD, MA
Past

January 5, 1988 - January 9, 1989

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
SPRINGFIELD, MA
Past

April 29, 1987 - November 2, 1987

AMERICAN NETWORK SECURITIES CORP.

BD
CRD#: 13750

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: 4/30/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 4/25/1987
General Securities Representative Examination

Current Firm

AC
ARQUE CAPITAL, LTD.
ARQUE CAPITAL, LTD. | QUANTUM LEAP SECURITIES, LLC

CRD#: 121192 / SEC#: 801-70283, 8-65390

BD
Terminated by SEC on 08/15/2023
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Contact information

Main Address
5665 North Scottsdale Road Suite 130, Scottsdale, AZ 85250
Mailing Address
Phone number
(602) 971-9000
Established
California since 11/18/2005
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
4

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
ARQUE ORION WINTER SKIES, LTD.PARENT COMPANY
KUWABARA, AUDREY MARIPRESIDENT & CEO (INTERIM)5007219
KUWABARA, AUDREY MARICHIEF RISK OFFICER/GENERAL COUNSEL/SECRETARY/CHIEF COMPLIANCE OFFICER5007219
NING, MICHAEL CHENGPRESIDENT & CEO1229733
ROACH, ROBERT GARFIELD JRFINOP2731222
SCANLON, TIMOTHY JOSEPHDIRECTOR - PRIVATE CLIENT DIVISION1968597
SULLIVAN, JAMES CHESTEROPTIONS PRINCIPAL804918

Regulatory assets under management

Total Number of Accounts9
AUM (Assets Under Management)$ 6,000,000

Disclosures

Regulatory Event5

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

ARQUE CAPITAL, LTD.

CRD#: 121192

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