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JA

Jack A. Arnold

Some features on this profile are disabled
CRD#: 2550256
JA

Professional summary

Jack Alexander Arnold was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Jack is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, Jack had worked at 3 firms, which includes HARVEST CAPITAL LLC, UNITED SECURITIES ALLIANCE INC., BRAUER & ASSOCIATES INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 5, 2002 - June 11, 2008

HARVEST CAPITAL LLC

BD
CRD#: 35723
LAKELAND, FL
Past

February 25, 1997 - December 31, 2001

UNITED SECURITIES ALLIANCE, INC.

BD
CRD#: 36487
GREENWOOD VILLAGE, CO
Past

January 18, 1995 - March 3, 1997

BRAUER & ASSOCIATES, INC.

BD
CRD#: 18278
ST. PETERSBURG, FL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 6
Date: 1/17/1995
Investment Company Products/Variable Contracts Representative Examination

Current Firm

HC
HARVEST CAPITAL LLC
HARVEST CAPITAL INSURANCE BROKERAGE, LLC | HARVEST CAPITAL LLC | HARVEST CAPITAL INSURANCE SERVICES

CRD#: 35723 / SEC#: , 8-46845

BD
Terminated by SEC on 12/31/2013
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Contact information

Main Address
Mailing Address
Phone number
Established
Connecticut since 12/08/1993
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
GIANSANTI, RALPH ALFONSO JRCHIEF EXECUTIVE OFFICER1728073
BELISLE, ROBERTMEMBER5685459
DILLON, THOMAS JAMESCHIEF OPERATING OFFICER4634502
GEORGE, KENNETH RONALDFINOP2643369
KAMINSKI, STEVEN JOHNCHIEF COMPLIANCE OFFICER2100262
RICH, MATTHEW REIDMEMBER2533124

Disclosures

Arbitration1

Red Flags

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Company Information

HARVEST CAPITAL LLC

CRD#: 35723

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