Arthur Galvan
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 Galvan, who also goes by Art Galvan, was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 2002. Arthur had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 55, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 24, 2017 - April 24, 2023
BROOKSTONE WEALTH ADVISORS, LLC
June 28, 2016 - August 14, 2017
PRINCIPAL SECURITIES, INC.
December 1, 2015 - August 14, 2017
PRINCIPAL SECURITIES, INC.
August 19, 2004 - November 23, 2015
AGENCY TRADING GROUP, INC.
April 2, 2003 - May 27, 2003
KNIGHT FINANCIAL PRODUCTS LLC
September 12, 2002 - April 2, 2003
KNIGHT EXECUTION PARTNERS LLC
Primary Firm SEC Registration
BROOKSTONE WEALTH ADVISORS, LLC
CRD#: 137658 / SEC#: 801-67628
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 55
Date: 12/8/2007
Limited Representative-Equity Trader ExamCurrent Firm
BROOKSTONE WEALTH ADVISORS, LLC
CRD#: 137658 / SEC#: 801-67628
Contact information
SEC notice filing (52 States and Territories)
Documents
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.
