Arthur Falk
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 Falk, who also goes by Arthur Q Falk, was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 1969. Arthur had worked at 7 firms and has passed the Series 63, SIE, PC 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
October 24, 2003 - December 4, 2018
KEDEM CAPITAL CORPORATION
August 1, 2003 - October 30, 2003
WALNUT STREET SECURITIES, INC.
July 19, 2002 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
December 13, 2000 - June 28, 2002
PRUDENTIAL EQUITY GROUP, LLC
May 27, 1992 - December 13, 2000
MORGAN STANLEY DW INC.
November 6, 1990 - August 20, 1992
AEGIS CAPITAL CORP.
September 1, 1988 - August 21, 1990
PRUDENTIAL EQUITY GROUP, LLC
May 1, 1969 - September 6, 1988
J.P. MORGAN SECURITIES 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
PC
Date: 1/19/1983
AMEX Put and Call ExamSeries 1
Date: 5/15/1964
Registered Representative ExaminationCurrent Firm
KEDEM CAPITAL CORPORATION
CRD#: 18178 / SEC#: , 8-36217
Contact information
Disclosures
| Arbitration | 3 |
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.
