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AA

Andrew M. Arthur

Some features on this profile are disabled
CRD#: 1864083
AA

Professional summary

Andrew Markman Arthur was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Andrew is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, Andrew had worked at 10 firms, which includes TGP SECURITIES INC., INTL FCSTONE CREDIT TRADING LLC, GUGGENHEIM SECURITIES LLC, B. RILEY SECURITIES INC., CITADEL SECURITIES LLC, NATWEST MARKETS SECURITIES INC., J.P. MORGAN SECURITIES LLC, SAZES SECURITIES LLC, MORGAN STANLEY & CO. LLC, M. J. WHITMAN INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Andy M 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.
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

May 7, 2019 - August 13, 2019

TGP SECURITIES, INC.

BD
CRD#: 159008
SUMMIT, NJ
Past

September 22, 2017 - September 26, 2018

INTL FCSTONE CREDIT TRADING LLC

BD
CRD#: 41025
NEW YORK, NY
Past

August 25, 2014 - July 7, 2017

GUGGENHEIM SECURITIES, LLC

BD
CRD#: 40638
NEW YORK, NY
Past

December 15, 2010 - August 11, 2014

B. RILEY SECURITIES, INC.

BD
CRD#: 25027
NEW YORK, NY
Past

December 17, 2009 - October 21, 2010

CITADEL SECURITIES LLC

BD
CRD#: 116797
NEW YORK, NY
Past

July 2, 2008 - October 13, 2009

NATWEST MARKETS SECURITIES INC.

BD
CRD#: 11707
GREENWICH, CT
Past

November 7, 2001 - June 9, 2008

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

March 2, 2001 - September 5, 2001

SAZES SECURITIES LLC

BD
CRD#: 35957
NEW YORK, NY
Past

June 21, 1995 - March 9, 2000

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

December 12, 1994 - June 14, 1995

SAZES SECURITIES LLC

BD
CRD#: 35957
NEW YORK, NY
Past

November 16, 1992 - September 27, 1994

M. J. WHITMAN, INC.

BD
CRD#: 27870
NEW YORK, NY

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: 2/8/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 9/26/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 4/22/1998
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 11/13/1992
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/9/2011
General Securities Principal Examination

Current Firm

TS
TGP SECURITIES, INC.
TGP SECURITIES, INC.

CRD#: 159008 / SEC#: , 8-68955

BD
Terminated by SEC on 02/05/2024
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 08/10/2011
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
LEE, SHEN SOEKSHAREHOLDER7083483
TAMMARO, JAMES PETERPRESIDENT/POO1174412
BARENBOIM, LEONARDCHIEF COMPLIANCE OFFICER1523181
GEORGE, KENNETH RONALDFINOP/CFO2643369

Disclosures

Regulatory Event2
Civil Event1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

TGP SECURITIES, INC.

CRD#: 159008

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