Arthur E. Gurr
Professional summary
Arthur Edward Gurr 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 1970. Prior to being barred, Arthur had worked at 12 firms, which includes PACIFIC WEST SECURITIES INC., VSR FINANCIAL SERVICES INC., EQUITY PROGRAMS CORPORATION, INVESTMENT CAPITAL CORPORATION, PUGET SOUND SECURITIES INC., FINANCIAL PLANNING CLINIC SECURITIES CORP., FOSTER & MARSHALL INC., MORGAN STANLEY DW INC., E. F. HUTTON & COMPANY INC, INDEPENDENT SECURITIES CORPORATION, DELGER CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 27, 1995 - January 2, 2001
PACIFIC WEST SECURITIES, INC.
March 15, 1991 - December 31, 1994
VSR FINANCIAL SERVICES, INC.
January 23, 1990 - April 10, 1991
EQUITY PROGRAMS CORPORATION
March 25, 1987 - February 3, 1989
INVESTMENT CAPITAL CORPORATION
September 27, 1983 - August 28, 1984
PUGET SOUND SECURITIES, INC.
August 23, 1983 - January 31, 1990
FINANCIAL PLANNING CLINIC SECURITIES CORP.
May 6, 1982 - August 25, 1983
PACIFIC WEST SECURITIES, INC.
August 10, 1979 - June 29, 1981
FOSTER & MARSHALL INC.
November 15, 1978 - September 20, 1979
MORGAN STANLEY DW INC.
April 10, 1978 - October 14, 1978
E. F. HUTTON & COMPANY INC
March 24, 1975 - January 22, 1978
INDEPENDENT SECURITIES CORPORATION
November 25, 1974 - April 10, 1975
DELGER CORPORATION
December 7, 1970 - September 20, 1972
INDEPENDENT SECURITIES CORPORATION
October 23, 1970 - December 21, 1974
INDEPENDENT SECURITIES CORPORATION
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
Series 1
Date: 7/13/1967
Registered Representative ExaminationSeries 00
Date: 12/1/1970
General Securities Principal ExaminationCurrent Firm
PACIFIC WEST SECURITIES, INC.
CRD#: 6390 / SEC#: , 8-17377
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PACIFIC WEST FINANCIAL GROUP HOLDING CO. L.L.C. | 100% SHAREHOLDER/HOLDING CO. | |
| FORD, SHANON LANE | DIRECTOR, PRESIDENT | 4151684 |
| FORD, SHANON LANE | SECRETARY/TREASURER | 4151684 |
| MCCLOSKEY, MARK THOMAS | CHIEF COMPLIANCE OFFICER | 325596 |
| PIZELO, PHILIP ANTHONY | DIRECTOR, CEO | 2429418 |
| SIMS, JEFFREY SCOTT | FINANCIAL AND OPERATIONS PRINCIPAL | 3247374 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 7 |
| Bond | 1 |
Red Flags
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