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AC

Arthur W. Clements

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CRD#: 2112373
AC

Professional summary

Arthur William Clements 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 2 firms, which includes AMERICAN CAPITAL CORPORATION, COMPULIFE INVESTOR SERVICES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

June 2, 1992 - January 1, 1999

AMERICAN CAPITAL CORPORATION

BD
CRD#: 16124
VALLEY FORGE, PA
Past

October 4, 1991 - May 27, 1992

COMPULIFE INVESTOR SERVICES, INC.

BD
CRD#: 21543
ST. CLOUD, MN
Past

March 13, 1991 - September 18, 1991

AMERICAN CAPITAL CORPORATION

BD
CRD#: 16124
VALLEY FORGE, PA

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

General Industry/Product Exam
RR
Series 6
Date: 2/22/1991
Investment Company Products/Variable Contracts Representative Examination

Current Firm

AC
AMERICAN CAPITAL CORPORATION
AMERICAN CAPITAL CORPORATION | GROWTH CAPITAL INVESTMENTS, INC.

CRD#: 16124 / SEC#: , 8-33324

BD
Terminated by SEC on 02/15/2002
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Contact information

Main Address
Mailing Address
Phone number
Established
Pennsylvania since 12/21/1984
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
POPE, DALE ALLANPRESIDENT1128816
MCLAUGHLIN, MICHAEL PATRICK SRVP/DIRECTOR OF COMPLIANCE/PRINCIPAL1381860

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.

Company Information

AMERICAN CAPITAL CORPORATION

CRD#: 16124

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