TA
Thomas H. Arthur
A.G.P. / ALLIANCE GLOBAL PARTNERS
Newport Beach, CA 92660
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CRD#: 1839742
TA
Professional summary
Thomas Howard Arthur, who also goes by Tom Howard Arthur, is a registered financial advisor currently at A.G.P. / ALLIANCE GLOBAL PARTNERS located in Newport Beach, California.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Thomas has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 6, Series 10, Series 9 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tom Howard Arthur
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.
Own a rental home in Scottsdale, AZ - 6625 E. First Ave.; devote less than 1 hour per month managing the property.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Howard Arthur's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thomas Howard Arthur'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®
NoneExperience
Current
April 5, 2010 - Present
A.G.P. / ALLIANCE GLOBAL PARTNERS
Office #1: 1201 Dove Street Suite 200, Newport Beach, CA 92660RIA
BD
CRD#: 8361
Newport Beach, CA
Current
April 5, 2010 - Present
A.G.P. / ALLIANCE GLOBAL PARTNERS
Office #1: 1201 Dove Street Suite 200, Newport Beach, CA 92660RIA
BD
CRD#: 8361
Newport Beach, CA
Past
January 11, 2010 - March 4, 2010
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
SEAL BEACH, CA
Past
January 11, 2010 - March 4, 2010
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
SEAL BEACH, CA
Past
April 14, 2009 - December 15, 2009
U.S. BANCORP INVESTMENTS, INC.
RIA
CRD#: 17868
HUNTINGTON BEACH, CA
Past
April 9, 2009 - December 15, 2009
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
HUNTINGTON BEACH, CA
Past
February 1, 2007 - March 23, 2009
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
IRVINE, CA
Past
February 1, 2007 - March 23, 2009
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
IRVINE, CA
Past
January 14, 1998 - February 1, 2007
ATLAS SECURITIES, LLC
BD
CRD#: 20991
LONG BEACH, CA
Past
August 22, 1996 - July 1, 1997
PRINCIPAL FINANCIAL SECURITIES,INC.
BD
CRD#: 260
DALLAS, TX
Past
August 29, 1995 - August 26, 1996
SUTRO & CO. INCORPORATED
BD
CRD#: 801
SAN FRANCISCO, CA
Past
June 22, 1988 - September 13, 1989
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
June 22, 1988 - September 13, 1989
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
A.G.P. / ALLIANCE GLOBAL PARTNERS
A.G.P / ALLIANCE GLOBAL PARTNERS | VAN PELT & COMPANY | THE A.I.D. GROUP | SHILLIN WEALTH MANAGEMENT | SES GROUP | PINZKER & ASSOCIATES | NTS BEARING | LUNDBLADE FINANCIAL GROUP | LOWELL NEWMAN | KS CAPITAL MANAGEMENT, INC | INTUIT WEALTH MANAGEMENT | EURO PACIFIC CAPITAL, INC. | EPC ADVISORS GROUP, A DIV. OF A.G.P. / ALLIANCE GLOBAL PARTNERS | EPC ADVISORS GROUP | BOATMAN FINANCIAL MANAGEMENT, PLLC | ALLIANCE GLOBAL PLANNING | AGP FINANCIAL DISTRICT | ABC WEALTH MANAGEMENT | A.G.P. / ALLIANCE GLOBAL PARTNERS, LLC | A.G.P. / ALLIANCE GLOBAL PARTNERS OF THE LOWCOUNTRY | A.G.P. / ALLIANCE GLOBAL PARTNERS CORP. | A.G.P. / ALLIANCE GLOBAL PARTNERS | A.G.P. / ALLIANCE GLOBAL | A.G.P.
CRD#: 8361 / SEC#: 801-70276, 8-25132
RIA
Registered Investment Advisory firm - SEC (6/15/2009 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(3/28/2011)
RR
Alaska(7/29/2010)
RR
Arizona(4/23/2010)
RR
California(4/5/2010)
IAR
California(4/5/2010)
RR
Colorado(4/12/2010)
RR
Florida(4/29/2010)
IAR
Florida(9/6/2024)
RR
Georgia(6/1/2010)
RR
Hawaii(4/12/2010)
RR
Idaho(4/23/2010)
RR
Illinois(5/6/2010)
IAR
Illinois(12/2/2024)
RR
Indiana(4/12/2010)
RR
Iowa(7/22/2022)
RR
Kansas(3/8/2011)
RR
Kentucky(1/10/2012)
RR
Maine(1/26/2023)
RR
Maryland(1/4/2011)
RR
Massachusetts(3/17/2011)
RR
Michigan(7/13/2010)
RR
Minnesota(4/22/2013)
RR
Missouri(4/23/2010)
RR
Montana(8/13/2014)
RR
Nebraska(8/15/2011)
RR
Nevada(5/25/2010)
RR
New Mexico(4/16/2010)
RR
New York(4/29/2010)
IAR
New York(9/5/2024)
RR
North Carolina(4/30/2010)
IAR
North Carolina(9/5/2024)
RR
North Dakota(2/5/2020)
RR
Ohio(6/2/2010)
RR
Oregon(4/12/2010)
RR
Pennsylvania(8/17/2015)
RR
South Carolina(3/30/2020)
RR
South Dakota(7/8/2010)
RR
Tennessee(4/19/2023)
RR
Texas(5/11/2010)
IAR
Texas(10/8/2010)
RR
Utah(7/18/2011)
RR
Virginia(4/29/2010)
RR
Washington(4/12/2010)
RR
Wisconsin(1/4/2011)
RR
Wyoming(6/17/2010)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
A.G.P. / ALLIANCE GLOBAL PARTNERS
A.G.P / ALLIANCE GLOBAL PARTNERS | VAN PELT & COMPANY | THE A.I.D. GROUP | SHILLIN WEALTH MANAGEMENT | SES GROUP | PINZKER & ASSOCIATES | NTS BEARING | LUNDBLADE FINANCIAL GROUP | LOWELL NEWMAN | KS CAPITAL MANAGEMENT, INC | INTUIT WEALTH MANAGEMENT | EURO PACIFIC CAPITAL, INC. | EPC ADVISORS GROUP, A DIV. OF A.G.P. / ALLIANCE GLOBAL PARTNERS | EPC ADVISORS GROUP | BOATMAN FINANCIAL MANAGEMENT, PLLC | ALLIANCE GLOBAL PLANNING | AGP FINANCIAL DISTRICT | ABC WEALTH MANAGEMENT | A.G.P. / ALLIANCE GLOBAL PARTNERS, LLC | A.G.P. / ALLIANCE GLOBAL PARTNERS OF THE LOWCOUNTRY | A.G.P. / ALLIANCE GLOBAL PARTNERS CORP. | A.G.P. / ALLIANCE GLOBAL PARTNERS | A.G.P. / ALLIANCE GLOBAL | A.G.P.
CRD#: 8361 / SEC#: 801-70276, 8-25132
RIA
Registered Investment Advisory firm - SEC (6/15/2009 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
88 Post Road West 2nd Floor, Westport, CT 06880
Mailing Address
88 Post Road West 2nd Floor, Westport, CT 06880
Phone number
(203) 662-9700
Established
New York since 07/06/2022
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Medium
# of Employees
320
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLIANCE GLOBAL HOLDINGS, INC. | HOLDING COMPANY | |
| GAMBARDELLA, RAFFAELE | COO/CHIEF RISK OFFICER | 2448073 |
| HIGGINS, THOMAS JOSEPH | PRINCIPAL OPERATIONS OFFICER | 1477505 |
| KLEIN, CRAIG ERIN | CFO, PRINCIPAL FINANCIAL OFFICER | 3253836 |
| LAURIELLO, ANTHONY JOSEPH | MUNICIPAL SECURITIES PRINCIPAL | 1086881 |
| MICHALS, PHILLIP WILLIAM | CHIEF EXECUTIVE OFFICER | 2414124 |
| VENEZIA, JOHN JOSEPH | CHIEF COMPLIANCE OFFICER - BROKER DEALER, RIA | 2737135 |
Regulatory assets under management
| Total Number of Accounts | 6,959 |
| AUM (Assets Under Management) | $ 2,300,125,872 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 3 |
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.
