Arthur R. Hall
Professional summary
Arthur Robert Hall 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 1 firm, which includes WS GRIFFITH SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 24, 1994 - May 2, 1997
WS GRIFFITH SECURITIES, INC.
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
Current Firm
WS GRIFFITH SECURITIES, INC.
CRD#: 10410 / SEC#: , 8-27324
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WS GRIFFITH ADVISORS, INC. | PARENT COMPANY | |
| BEAGIN, JOSEPH GARY | SENIOR VICE PRESIDENT | 15544 |
| BEERS, JOHN HENRY | SECRETARY, VICE PRESIDENT | |
| DAHL, RICHARD STEWART | VICE PRESIDENT, OPERATIONS | 1080878 |
| ENGBERG, NANCY JEAN | VP & CHIEF COMPLIANCE OFFICER | 2952960 |
| HAYLON, MICHAEL EDWARD | DIRECTOR | 1884528 |
| KELLEHER, JOSEPH EDWARD | PRESIDENT, DIRECTOR | 4017209 |
| LAUTENSACK, ROBERT GEORGE JR | DIRECTOR | |
| MILLER, LAURA EILEEN | CHIEF FINANCIAL OFFICER, SENIOR VICE PRESIDENT | 1558203 |
| OLSON, VICTORIA LYNN | VP, COMPLIANCE OFFICER | 2360895 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
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.
