Arnold Baratz
Professional summary
Arnold Baratz was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Arnold is a previously registered financial advisor and started their career in finance in 2009. Prior to being barred, Arnold had worked at 4 firms, which includes IC ADVISORY SERVICES INC., THE INVESTMENT CENTER INC., MORGAN STANLEY, MELVIN SECURITIES L.L.C..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 6, 2012 - December 12, 2014
IC ADVISORY SERVICES, INC.
July 6, 2012 - December 12, 2014
THE INVESTMENT CENTER, INC.
August 5, 2011 - July 26, 2012
MORGAN STANLEY
July 8, 2011 - July 26, 2012
MORGAN STANLEY
January 7, 2009 - February 1, 2010
MELVIN SECURITIES, L.L.C.
State Registrations and Notice Filings
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Exams
Series 55
Date: 2/13/2009
Limited Representative-Equity Trader ExamCurrent Firm
IC ADVISORY SERVICES, INC.
CRD#: 140190 / SEC#: 801-66512
Contact information
Regulatory assets under management
| Total Number of Accounts | 5,528 |
| AUM (Assets Under Management) | $ 2,056,415,877 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/02/2024 | ||
| 02/15/2024 | ||
| 01/10/2023 |
Red Flags
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