Carl A. Artopoeus
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.
Carl Allen Artopoeus was a registered financial professional .
Carl is a previously registered financial professional and started their career in finance in 1988. Carl had worked at 4 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 24, 1997 - April 12, 1999
CAPBAY FINANCIAL SERVICES
February 22, 1996 - March 8, 1996
PROFUTURES FINANCIAL GROUP, INC.
April 22, 1993 - February 24, 1994
HARDING/HALL, INC.
July 20, 1988 - July 27, 1990
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CAPBAY FINANCIAL SERVICES
CRD#: 32395 / SEC#: , 8-45697
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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.
