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WA

William Charles Arbo

ALLIANCE-ONE INVESTMENTS

Tulsa, OK

·CRD# 1773016·39 years experience

Professional Summary

William Charles Arbo is a registered financial advisor currently at ALLIANCE-ONE INVESTMENTS, LLC located in Tulsa, Oklahoma. William is registered as a RR (Registered Representative) and started their career in finance in 1987. William has worked at 11 firms and has passed the Series 99TO, SIE, Series 7, Series 27 and Series 24 exams.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

What Are Financial Values and How to Align Them With Your Financial Goals

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

39 years in the financial services industry

Current & Past Employments

ALLIANCE-ONE INVESTMENTS, LLC·CRD# 286025

BD

4000 N Mingo Rd, Tulsa, OK 74116

July 6, 2017 - Present

NEW ENGLAND SECURITIES·CRD# 615

BD

Charlotte, NC

August 20, 2008 - January 2, 2015

METLIFE INVESTORS DISTRIBUTION COMPANY·CRD# 107622

BD

Charlotte, NC

March 24, 2006 - August 11, 2017

METROPOLITAN LIFE INSURANCE COMPANY·CRD# 4095

BD

Hartford, CT

December 15, 2005 - July 9, 2007

MSI FINANCIAL SERVICES, INC.·CRD# 14251

BD

Charlotte, NC

December 15, 2005 - June 30, 2016

PFS INVESTMENTS INC.·CRD# 10111

BD

Duluth, GA

October 28, 2004 - March 14, 2006

TOWER SQUARE SECURITIES, INC.·CRD# 833

BD

Hartford, CT

January 12, 2004 - January 25, 2012

WS GRIFFITH SECURITIES, INC.·CRD# 10410

BD

Hartford, CT

July 1, 1999 - March 13, 2002

VP DISTRIBUTORS, LLC·CRD# 3036

BD

Hartford, CT

June 12, 1997 - July 8, 1999

G. R. PHELPS & CO., INC.·CRD# 173

BD

March 5, 1990 - July 21, 1995

RESOURCE BROKERAGE CORP.·CRD# 19073

BD

November 25, 1987 - February 27, 1990

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Current Firm

AI

ALLIANCE-ONE INVESTMENTS, LLC

ALLIANCE-ONE INVESTMENTS, LLC

CRD#: 286025 / SEC#: 8-69868

BD

Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

Contact Information

Main Address

4000 N Mingo Rd, Tulsa, OK 74116

Mailing Address

4000 N Mingo Rd, Tulsa, OK 74116

Phone Number

(918) 281-1820

Established

Delaware since 10/20/2016

Firm Type

Limited Liability Company

Fiscal Year End

March

Firm Size

Medium

Documents

Direct owners and executive officers

Name	Position	CRD#
ALLIANCE-ONE HOLDINGS, LLC	SOLE MEMBER	—
ARBO, WILLIAM CHARLES	PRESIDENT/ CEO / CFO	1773016
TOOMEY, JAY ALAN	CHIEF COMPLIANCE OFFICER	2514959

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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.

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State Registrations and Notice Filings

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

This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 99TO — Operations Professional Examination

Passed Jan 2023About the Series 99TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Nov 1987About the Series 7 exam

Series 27 — Financial and Operations Principal Examination

Passed Jun 1991About the Series 27 exam

Series 24 — General Securities Principal Examination

Passed Jul 1989About the Series 24 exam

FINRA

SRO Registrations

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CRS (Client Relationship Summary) - BD

Click below to view William Charles Arbo's CRS (Customer Relationship Summary).

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WA

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