AP
Arthur A. Pumphrey
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CRD#: 1913204
AP
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 Alan Pumphrey was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 1989. Arthur had worked at 6 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
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®
NoneExperience
Past
February 18, 2010 - December 31, 2015
HBW ADVISORY SERVICES LLC
RIA
CRD#: 143665
BATTLE CREEK, MI
Past
December 9, 2009 - December 31, 2009
CPR INVESTMENTS INC
RIA
CRD#: 139067
ROCHESTER, MI
Past
February 21, 2007 - December 31, 2012
HBW SECURITIES LLC
BD
CRD#: 136959
GRAND RAPIDS, MI
Past
June 24, 1998 - September 17, 1998
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
LOS ANGELES, CA
Past
January 25, 1995 - December 31, 1996
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
LOS ANGELES, CA
Past
July 25, 1991 - November 20, 1992
NORTH AMERICAN MANAGEMENT, INC.
BD
CRD#: 624
SIOUX FALLS, SD
Past
January 17, 1989 - April 12, 1991
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
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".
HA
HBW ADVISORY SERVICES LLC
HBW ADVISORY SERVICES LLC
CRD#: 143665 / SEC#: 801-77333
RIA
Registered Investment Advisory firm - (11/7/2012 Approved)Alabama
Registered Investment Advisory firm - (12/13/2012 Terminated)Arizona
Registered Investment Advisory firm - (12/13/2012 Terminated)California
Registered Investment Advisory firm - (1/12/2013 Terminated)Colorado
Registered Investment Advisory firm - (12/13/2012 Terminated)Connecticut
Registered Investment Advisory firm - (1/15/2013 Terminated)Florida
Registered Investment Advisory firm - (12/13/2012 Terminated)Georgia
Registered Investment Advisory firm - (12/13/2012 Terminated)Illinois
Registered Investment Advisory firm - (11/7/2012 Terminated)Indiana
Registered Investment Advisory firm - (12/13/2012 Terminated)Iowa
Registered Investment Advisory firm - (12/13/2012 Terminated)Kansas
Registered Investment Advisory firm - (12/13/2012 Terminated)Kentucky
Registered Investment Advisory firm - (12/13/2012 Terminated)Missouri
Registered Investment Advisory firm - (12/13/2012 Terminated)Nevada
Registered Investment Advisory firm - (1/13/2013 Terminated)New Jersey
Registered Investment Advisory firm - (12/18/2012 Terminated)New Mexico
Registered Investment Advisory firm - (12/13/2012 Terminated)New York
Registered Investment Advisory firm - (12/13/2012 Terminated)North Carolina
Registered Investment Advisory firm - (12/13/2012 Terminated)Ohio
Registered Investment Advisory firm - (12/13/2012 Terminated)Oklahoma
Registered Investment Advisory firm - (12/13/2012 Terminated)Oregon
Registered Investment Advisory firm - (12/19/2012 Terminated)Tennessee
Registered Investment Advisory firm - (12/21/2012 Terminated)Texas
Registered Investment Advisory firm - (12/13/2012 Terminated)Virginia
Registered Investment Advisory firm - (12/13/2012 Terminated)Washington
Registered Investment Advisory firm - (12/13/2012 Terminated)Wisconsin
Registered Investment Advisory firm - (12/13/2012 Terminated)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
State Security Law Exam
General Industry/Product Exam
Current Firm
HA
HBW ADVISORY SERVICES LLC
HBW ADVISORY SERVICES LLC
CRD#: 143665 / SEC#: 801-77333
RIA
Registered Investment Advisory firm - (11/7/2012 Approved)Alabama
Registered Investment Advisory firm - (12/13/2012 Terminated)Arizona
Registered Investment Advisory firm - (12/13/2012 Terminated)California
Registered Investment Advisory firm - (1/12/2013 Terminated)Colorado
Registered Investment Advisory firm - (12/13/2012 Terminated)Connecticut
Registered Investment Advisory firm - (1/15/2013 Terminated)Florida
Registered Investment Advisory firm - (12/13/2012 Terminated)Georgia
Registered Investment Advisory firm - (12/13/2012 Terminated)Illinois
Registered Investment Advisory firm - (11/7/2012 Terminated)Indiana
Registered Investment Advisory firm - (12/13/2012 Terminated)Iowa
Registered Investment Advisory firm - (12/13/2012 Terminated)Kansas
Registered Investment Advisory firm - (12/13/2012 Terminated)Kentucky
Registered Investment Advisory firm - (12/13/2012 Terminated)Missouri
Registered Investment Advisory firm - (12/13/2012 Terminated)Nevada
Registered Investment Advisory firm - (1/13/2013 Terminated)New Jersey
Registered Investment Advisory firm - (12/18/2012 Terminated)New Mexico
Registered Investment Advisory firm - (12/13/2012 Terminated)New York
Registered Investment Advisory firm - (12/13/2012 Terminated)North Carolina
Registered Investment Advisory firm - (12/13/2012 Terminated)Ohio
Registered Investment Advisory firm - (12/13/2012 Terminated)Oklahoma
Registered Investment Advisory firm - (12/13/2012 Terminated)Oregon
Registered Investment Advisory firm - (12/19/2012 Terminated)Tennessee
Registered Investment Advisory firm - (12/21/2012 Terminated)Texas
Registered Investment Advisory firm - (12/13/2012 Terminated)Virginia
Registered Investment Advisory firm - (12/13/2012 Terminated)Washington
Registered Investment Advisory firm - (12/13/2012 Terminated)Wisconsin
Registered Investment Advisory firm - (12/13/2012 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2655 1st Street Suite 250, Simi Valley, CA 93065
Mailing Address
P.o. Box 2049, Simi Valley, CA 93062
Phone number
(800) 473-3856
Established
Firm type
Fiscal year end
# of Employees
72
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 14,679 |
| AUM (Assets Under Management) | $ 1,747,369,322 |
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.
