Arthur J. Huy
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 Joseph Huy JR, who also goes by Aj Huy, Arthur Huy, was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 1993. Arthur had worked at 9 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 29, 2011 - July 27, 2018
HARRISDIRECT LLC
July 13, 2011 - July 27, 2018
E*TRADE SECURITIES LLC
February 29, 2008 - March 28, 2011
AFFINA BROKERAGE SERVICES, LLC
April 25, 2006 - June 2, 2006
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
October 21, 2004 - June 2, 2006
TD AMERITRADE, INC.
October 21, 2004 - June 2, 2006
TD AMERITRADE, INC.
March 7, 2003 - October 15, 2004
NATIONWIDE SECURITIES, LLC
June 24, 2002 - February 5, 2003
HARRISDIRECT LLC
June 16, 2000 - February 5, 2003
HARRISDIRECT LLC
February 11, 1997 - June 12, 2000
FIRST UNION BROKERAGE SERVICES, INC.
May 19, 1995 - December 13, 1995
ROBERT THOMAS SECURITIES, INC
February 10, 1993 - December 22, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
HARRISDIRECT LLC
CRD#: 42159 / SEC#: 801-58085, 8-49730
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| E*TRADE BROKERAGE HOLDINGS, INC. | SHAREHOLDER | |
| ALBINO, MICHAEL JOSEPH | CHIEF COMPLIANCE OFFICER/CROP/SROP - BD | 864412 |
| BOCK, CYNTHIA CRAMER | CORPORATE SECRETARY | |
| CURCIO, MICHAEL JOHN | MANAGER | 1620743 |
| FOSTER, JONATHAN RICE | PRESIDENT | 1037245 |
| HAVENS, GILBERT SCHUYLER | VICE PRESIDENT - IA | 2508109 |
| KAMEDA, ROBIN GEN WAI KIRN | CHIEF COMPLIANCE OFFICER - IA | 1821479 |
| LILIEN, ROBERT JARRETT | CEO, MANAGER | 1337819 |
| REYES, CHRISTOPHER VALENTIN | CHIEF FINANCIAL OFFICER | 2105804 |
| ROBERTS, THOMAS HENRY III | VICE PRESIDENT - BD | 2104665 |
| WILSON, MICHAEL JAMES | CHIEF COMPLIANCE OFFICER - INTERNATIONAL | 2446305 |
Regulatory assets under management
| Total Number of Accounts | 90,806 |
| AUM (Assets Under Management) | $ 7,406,529,807 |
Disclosures
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/23/2023 | ||
| 09/27/2022 | ||
| 12/21/2021 |
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.
