Arthur A. Alonzo
Professional summary
Arthur Andrew Alonzo III was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Arthur is a previously registered financial professional and started their career in finance in 1991. Prior to being barred, Arthur had worked at 6 firms, which includes D.L. CROMWELL INVESTMENTS INC., COLIN WINTHROP & CO. INC., HANOVER STERLING & COMPANY LTD., CORTLANDT CAPITAL CORPORATION, BARRETT DAY SECURITIES INC., GKN SECURITIES CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 2, 1995 - March 19, 1997
D.L. CROMWELL INVESTMENTS, INC.
May 26, 1995 - November 10, 1995
COLIN WINTHROP & CO., INC.
July 20, 1994 - June 12, 1995
HANOVER, STERLING & COMPANY LTD.
January 4, 1994 - June 21, 1994
CORTLANDT CAPITAL CORPORATION
April 8, 1993 - November 12, 1993
BARRETT DAY SECURITIES, INC.
February 19, 1993 - March 25, 1993
GKN SECURITIES CORP.
December 13, 1991 - March 2, 1993
CORTLANDT CAPITAL CORPORATION
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
Current Firm
D.L. CROMWELL INVESTMENTS, INC.
CRD#: 37730 / SEC#: , 8-47938
Contact information
Documents
Disclosures
| Regulatory Event | 11 |
| Arbitration | 6 |
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.
