Arthur C. Ely
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 Courtlandt Ely was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 1971. Arthur had worked at 5 firms and has passed the Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 27, 1983 - February 23, 1998
BOWLING GREEN SECURITIES, INC.
October 3, 1979 - December 5, 1981
PRUDENTIAL EQUITY GROUP, LLC
March 30, 1979 - October 20, 1979
NEWHARD, COOK & CO. INCORPORATED
February 1, 1979 - July 18, 1980
BOWLING GREEN SECURITIES, INC.
April 23, 1973 - November 1, 1973
HAYDEN STONE INC.
June 18, 1971 - April 23, 1973
SHIELD AND CO
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 1
Date: 10/30/1962
Registered Representative ExaminationCurrent Firm
BOWLING GREEN SECURITIES, INC.
CRD#: 3652 / SEC#: , 8-5879
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UTSCH, HANS PETER | SOLE SHAREHOLDER | 1467622 |
| MENDEZ, OLGA AMERICA | PRESIDENT | |
| MUCCIO, LUCY ANN | TREASURER | |
| REARDON, JUDITH LORELLI | VICE PRESIDENT AND SECRETARY |
Disclosures
| Regulatory Event | 15 |
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.
