Arthur J. Niebauer
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.
Arthur James Niebauer, who also goes by A J Niebauer, Arthur J Niebauer, Jamie Niebauer, was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 1989. Arthur had worked at 4 firms and has passed the Series 63, Series 25, Series 7, Series 14, Series 27 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
September 28, 1999 - February 2, 2007
WESTMINSTER SECURITIES CORPORATION
July 13, 1992 - September 18, 1998
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
May 18, 1991 - July 13, 1992
ADLER COLEMAN & CO., INC.
December 24, 1990 - May 7, 1991
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
January 17, 1989 - December 19, 1994
OSCAR GRUSS & SON INCORPORATED
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 25
Date: 1/11/2000
NYSE Trading Assistant ExaminationSeries 8
Date: 7/23/1990
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
WESTMINSTER SECURITIES CORPORATION
CRD#: 6105 / SEC#: , 8-16881
Contact information
Documents
Disclosures
| Regulatory Event | 13 |
| Arbitration | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
