Arthur C. Levy
Professional summary
Arthur Conrad Levy 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 advisor and started their career in finance in 1992. Prior to being barred, Arthur had worked at 6 firms, which includes TRUIST INVESTMENT SERVICES INC., CITICORP INVESTMENT SERVICES, WAMU INVESTMENTS INC., GREAT WESTERN FINANCIAL SECURITIES CORPORATION, GKN SECURITIES CORP., BARRON CHASE SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 14, 2004 - November 11, 2004
TRUIST INVESTMENT SERVICES, INC.
May 22, 2003 - November 11, 2004
TRUIST INVESTMENT SERVICES, INC.
April 12, 2001 - May 19, 2003
CITICORP INVESTMENT SERVICES
May 1, 1998 - April 16, 2001
WAMU INVESTMENTS, INC.
March 25, 1994 - May 1, 1998
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
May 21, 1992 - October 20, 1992
GKN SECURITIES CORP.
February 10, 1992 - May 21, 1992
BARRON CHASE SECURITIES, INC.
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
TRUIST INVESTMENT SERVICES, INC.
CRD#: 17499 / SEC#: 801-56443, 8-35355
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRUIST FINANCIAL CORPORATION | HOLDING COMPANY | |
| CALLENDER, EVELYN MICHELLE | TREASURER AND CHIEF FINANCIAL OFFICER | 7591739 |
| CENTENO, PATRICIA REED | DEPUTY CHIEF COMPLIANCE OFFICER | 2239528 |
| COBBS, JENI RACHEL | COMPLIANCE OFFICER | 4354424 |
| CRAM, BRYAN SCOTT | VICE CHAIRMAN/EXECUTIVE VICE PRESIDENT | 2723431 |
| DOWHOWER, BRIAN SEAN | CHAIRMAN/PRESIDENT/CHIEF EXECUTIVE OFFICER | 4202574 |
| DUNN, JEFFREY TODD | DIRECTOR/EXECUTIVE VICE PRESIDENT | 4228631 |
| HECHTLINGER, SUSAN | DIRECTOR/CHIEF COMPLIANCE OFFICER/SENIOR VICE PRESIDENT | 2890466 |
| MAVICO, CECILIA BAUTE | SENIOR VICE CHAIRMAN/CHIEF OPERATING OFFICER/CORPORATE SECRETARY | 3261303 |
| NORMAN, ANNMARIE CARROLL | COMPLIANCE OFFICER | 2993726 |
| TYSON, TONYA | CHIEF OPERATIONS OFFICER/SENIOR VICE PRESIDENT/ASSISTANT CORPORATE SECRETARY | 1987448 |
| WEHINGER, LEAH ROWE | DIRECTOR/EXECUTIVE VICE PRESIDENT | 1719505 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 14 |
| Bond | 2 |
Red Flags
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