Arthur A. Toth
Professional summary
Arthur Andrew Toth III 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 1994. Prior to being barred, Arthur had worked at 4 firms, which includes LEGEND MERCHANT GROUP INC., EMMETT A LARKIN COMPANY INC., FAIRCHILD FINANCIAL GROUP INC., L.C. WEGARD & 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 2, 2000 - May 15, 2001
LEGEND MERCHANT GROUP, INC.
November 20, 1997 - September 8, 2000
EMMETT A LARKIN COMPANY, INC.
November 20, 1995 - November 4, 1997
FAIRCHILD FINANCIAL GROUP, INC.
October 5, 1994 - November 21, 1995
L.C. WEGARD & CO., INC.
State Registrations and Notice Filings
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Exams
Current Firm
LEGEND MERCHANT GROUP, INC.
CRD#: 5155 / SEC#: 801-63525, 8-21703
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LEDGE END CORP. | OWNER | |
| UNSWORTH, DAVID WOODS JR | CHAIRMAN, CCO, CEO & PRESIDENT | 1609040 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 4 |
| Judgment/Lien | 4 |
Red Flags
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