Edward R. Arnold
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.
Edward Raymond Arnold was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1989. Edward had worked at 7 firms and has passed the Series 65, Series 63, Series 79TO, Series 99TO, SIE, Series 57, Series 15, Series 5, Series 3, Series 7, Series 10, Series 9, Series 14, Series 24, Series 4 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 12, 2017 - August 5, 2019
CITI ORDER ROUTING AND EXECUTION, LLC
June 9, 2009 - July 2, 2018
CITIGROUP DERIVATIVES MARKETS INC.
May 9, 2005 - August 3, 2023
CITICORP SECURITIES SERVICES, INC.
September 29, 2004 - August 3, 2023
CITIGROUP GLOBAL MARKETS INC.
August 20, 2004 - August 3, 2023
CITIGROUP GLOBAL MARKETS INC.
July 9, 2002 - July 21, 2004
CREDIT SUISSE SECURITIES (USA) LLC
August 24, 2001 - January 28, 2002
AUTRANET, LLC
July 26, 2000 - May 11, 2001
CREDIT SUISSE CAPITAL LLC
January 31, 1989 - July 21, 2004
CREDIT SUISSE SECURITIES (USA) LLC
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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 15
Date: 1/26/1995
Foreign Currency Options ExaminationSeries 5
Date: 1/26/1995
Interest Rate Options ExaminationSeries 8
Date: 7/21/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CITI ORDER ROUTING AND EXECUTION, LLC
CRD#: 103768 / SEC#: , 8-52261
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CITIGROUP FINANCIAL PRODUCTS, INC. | OWNER | |
| ARNOLD, EDWARD RAYMOND | CHIEF COMPLIANCE OFFICER | 1876464 |
| FASANO, THOMAS JAMES | CO-PRESIDENT, GENERAL SECURITIES PRINCIPAL | 1354608 |
| GATELY, TIMOTHY HUGH | DIRECTOR | 2570328 |
| MOGILEVSKY, CHARLES ROBERT | PRINCIPAL OPERATIONS OFFICER | 1712540 |
| MOGILEVSKY, CHARLES ROBERT | CHIEF EXECUTIVE OFFICER | 1712540 |
| SALIBA, RAMSEY | PRINCIPAL FINANCIAL OFFICER / FINOP | 5358958 |
| WINCHESTER, J SLADE | CO-PRESIDENT, OPTIONS PRINCIPAL | 1762956 |
Disclosures
| Regulatory Event | 17 |
Red Flags
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