Ara Proudian
Professional summary
Ara Proudian was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Ara is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Ara had worked at 4 firms, which includes CARLTON CAPITAL INC., PARK CAPITAL SECURITIES LLC, STONE HARBOR FINANCIAL SERVICES LLC, ALEXANDER WESCOTT & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 10, 2003 - July 19, 2006
CARLTON CAPITAL INC.
August 14, 2002 - January 2, 2004
PARK CAPITAL SECURITIES, LLC
January 23, 2001 - November 1, 2002
STONE HARBOR FINANCIAL SERVICES, LLC
June 8, 1994 - December 15, 2000
ALEXANDER, WESCOTT, & CO., INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 55
Date: 3/6/2001
Limited Representative-Equity Trader ExamCurrent Firm
CARLTON CAPITAL INC.
CRD#: 42533 / SEC#: , 8-49874
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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