William C. Arbo

ALLIANCE-ONE INVESTMENTS

Tulsa, OK 74116

Some features on this profile are disabled

CRD#: 1773016

Professional summary

William Charles Arbo is a registered financial professional 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.

Question & Answer

Are you a "fiduciary"?

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) - BD

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

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

Current

July 6, 2017 - Present

ALLIANCE-ONE INVESTMENTS, LLC

Office #1: 4000 N Mingo Rd, Tulsa, OK 74116

CRD#: 286025

Tulsa, OK

Past

August 20, 2008 - January 2, 2015

NEW ENGLAND SECURITIES

CRD#: 615

CHARLOTTE, NC

Past

March 24, 2006 - August 11, 2017

METLIFE INVESTORS DISTRIBUTION COMPANY

CRD#: 107622

CHARLOTTE, NC

Past

December 15, 2005 - July 9, 2007

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

HARTFORD, CT

Past

December 15, 2005 - June 30, 2016

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

CHARLOTTE, NC

Past

October 28, 2004 - March 14, 2006

PFS INVESTMENTS INC.

CRD#: 10111

DULUTH, GA

Past

January 12, 2004 - January 25, 2012

TOWER SQUARE SECURITIES, INC.

CRD#: 833

HARTFORD, CT

Past

July 1, 1999 - March 13, 2002

WS GRIFFITH SECURITIES, INC.

CRD#: 10410

HARTFORD, CT

Past

June 12, 1997 - July 8, 1999

VP DISTRIBUTORS LLC

CRD#: 3036

HARTFORD, CT

Past

March 5, 1990 - July 21, 1995

G. R. PHELPS & CO., INC.

CRD#: 173

Past

November 25, 1987 - February 27, 1990

RESOURCE BROKERAGE CORP.

CRD#: 19073

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

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/21/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 27

Date: 6/18/1991

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 7/17/1989

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ALLIANCE-ONE INVESTMENTS, LLC

CRD#: 286025 / SEC#: , 8-69868

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

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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

# of Employees

Documents

Direct owners and executive officers

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

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.

Similar Advisors

Darin Kight

LPL FINANCIAL LLC

IAR

Tulsa, OK

Thomas Loper

CORNERSTONE WEALTH MANAGEMENT, LLC

IAR

Tulsa, OK

We're Here To Help

Advisor Monitoring

Firm Stability Insights

William C. Arbo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

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

Certified licenses

Experience

NEW ENGLAND SECURITIES

METLIFE INVESTORS DISTRIBUTION COMPANY

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

PFS INVESTMENTS INC.

TOWER SQUARE SECURITIES, INC.

WS GRIFFITH SECURITIES, INC.

VP DISTRIBUTORS LLC

G. R. PHELPS & CO., INC.

RESOURCE BROKERAGE CORP.

State Registrations and Notice Filings

Exams

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 11/21/1987

Series 27

Date: 6/18/1991

Series 24

Date: 7/17/1989

FINRA

Current Firm

ALLIANCE-ONE INVESTMENTS, LLC

Contact information

Documents

Direct owners and executive officers

Red Flags

Company Information

ALLIANCE-ONE INVESTMENTS, LLC

TRUST BUT VERIFY

Similar Advisors