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AR

Arthur C. Ressmann

Some features on this profile are disabled
CRD#: 2177036
AR

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 Christian Ressmann JR, who also goes by Art Ressmann, was a registered financial professional .

Arthur is a previously registered financial professional and started their career in finance in 1991. Arthur had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Art Ressmann

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

August 30, 2007 - November 1, 2017

FROST BROKERAGE SERVICES, INC.

BD
CRD#: 17465
AUSTIN, TX
Past

September 12, 2006 - April 10, 2007

ZACKS INVESTMENT MANAGEMENT, INC.

RIA
CRD#: 110897
CHICAGO, IL
Past

September 7, 2006 - April 10, 2007

LBMZ SECURITIES, INC.

BD
CRD#: 7874
CHICAGO, IL
Past

February 16, 2005 - June 7, 2006

WADDELL & REED

RIA
CRD#: 866
AUSTIN, TX
Past

February 2, 2005 - June 7, 2006

WADDELL & REED

BD
CRD#: 866
AUSTIN, TX
Past

September 5, 2000 - January 18, 2005

CUNA BROKERAGE SERVICES, INC.

RIA
CRD#: 13941
AUSTIN, TX
Past

September 5, 2000 - January 18, 2005

CUNA BROKERAGE SERVICES, INC.

BD
CRD#: 13941
WAVERLY, IA
Past

July 19, 2000 - September 7, 2000

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD
CRD#: 16164
PHILADELPHIA, PA
Past

February 19, 1998 - June 9, 2000

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

March 14, 1996 - February 9, 1998

NEW ENGLAND SECURITIES

BD
CRD#: 615
NEW YORK, NY
Past

October 14, 1991 - March 1, 1996

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
DES MOINES, IA

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

State Security Law Exam
IAR
Series 65
Date: 5/12/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/11/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 11/1/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/7/1998
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 10/11/1991
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 10/24/2013
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 8/29/2013
General Securities Sales Supervisor - Options Module Examination

Current Firm

FB
FROST BROKERAGE SERVICES, INC.
FROST BROKERAGE SERVICES, INC. | FROST WEALTH MANAGEMENT

CRD#: 17465 / SEC#: , 8-35285

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
111 W. Houston Street, San Antonio, TX 78205
Mailing Address
P.o. Box 2538, San Antonio, TX 78299
Phone number
(210) 220-5000
Established
Texas since 03/21/1986
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (48 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FROST BANKPARENT COMPANY
REPA, JACK BRANDONCHIEF COMPLIANCE OFFICER2558740
WALSH, CHRISTOPHER SCOTTPRESIDENT / CHIEF OPERATIONS OFFICER2580114

Disclosures

Regulatory Event4
Civil Event1
Arbitration1

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

FROST BROKERAGE SERVICES, INC.

CRD#: 17465

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