Arthur A. Haist
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 Albert Haist was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 1969. Arthur had worked at 8 firms and has passed the Series 65, Series 63, SIE, PC, Series 000, Series 1 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 1, 2000 - September 10, 2015
CELADON FINANCIAL GROUP LLC
November 26, 1996 - July 31, 2000
PINNACLE ASSET MANAGEMENT, INC.
January 11, 1995 - August 7, 1996
PHILADELPHIA INVESTORS, LTD.
July 17, 1989 - December 16, 1994
PRUDENTIAL EQUITY GROUP, LLC
August 12, 1980 - July 27, 1989
CITIGROUP GLOBAL MARKETS INC.
January 3, 1973 - September 8, 1980
JANNEY MONTGOMERY SCOTT LLC
June 28, 1971 - January 8, 1973
CAPITAL PLANNING ASSOICATES INC
February 27, 1969 - January 1, 1971
ILG 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
PC
Date: 3/31/1981
AMEX Put and Call ExamSeries 000
Date: 3/19/1973
General Securities Principal ExaminationSeries 1
Date: 2/20/1969
Registered Representative ExaminationCurrent Firm
CELADON FINANCIAL GROUP LLC
CRD#: 36538 / SEC#: , 8-47288
Contact information
FINRA licenses (34 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HERSCH, DARYL SCOTT | CEO/MAJORITY MEMBER/GSP/ROSFP | 1255474 |
| CAMBRIA HOLDINGS, INC. | MINORITY MEMBER | |
| COSTINE, MELISSA ANNE | OPERATIONS MANAGER/GSP | 2646983 |
| NAVAS, NELSON GABRIEL | CFO/FINOP/GSP | 5092353 |
| PASTINE, ARMAND RALPH | HEAD OF CAPITAL MARKETS/GSP | 2257531 |
| WALDMAN, PAUL MITCHELL | CCO/AMLCO/GSP/ROSFP | 1885767 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 1 |
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.
