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CA

Christopher J. Arts

Some features on this profile are disabled
CRD#: 1991130
CA

Professional summary

Christopher Joseph Arts was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Christopher is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, Christopher had worked at 5 firms, which includes SCARSDALE EQUITIES LLC, LEEB BROKERAGE SERVICES INC., FAR HILLS GROUP LLC., UBS FINANCIAL SERVICES INC., NATIXIS SECURITIES AMERICAS LLC.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Christopher J Arts

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 8, 2007 - July 31, 2019

SCARSDALE EQUITIES LLC

BD
CRD#: 134602
NEW YORK, NY
Past

November 4, 2004 - May 16, 2007

LEEB BROKERAGE SERVICES, INC.

BD
CRD#: 46195
NEW YORK, NY
Past

December 11, 2003 - March 12, 2004

FAR HILLS GROUP, LLC.

BD
CRD#: 32243
NEW YORK, NY
Past

December 13, 2002 - January 12, 2004

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

December 4, 1996 - February 28, 2001

NATIXIS SECURITIES AMERICAS LLC

BD
CRD#: 1101
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
IAR
Series 66
Date: 1/17/2003
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 12/17/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 2/2/1999
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 11/6/1996
General Securities Representative Examination

Current Firm

SE
SCARSDALE EQUITIES LLC
SCARSDALE EQUITIES LLC

CRD#: 134602 / SEC#: , 8-66845

BD
Terminated by SEC on 02/21/2021
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 12/16/2004
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
MLYNARCZYK, FRANCIS ALEXANDERMANAGING MEMBER, CEO, CCO, FINOP, AMLCO2250955
FITZGERALD, HEATHER MARIECHIEF FINANCIAL OFFICER4427665

Disclosures

Regulatory 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

SCARSDALE EQUITIES LLC

CRD#: 134602

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