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Robert W. Arnold

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CRD#: 2551463
RA

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.

Robert William Arnold JR, who also goes by Bobby Arnold Jr, was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1994. Robert had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bobby Arnold Jr

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

February 7, 2020 - October 5, 2021

HANCOCK WHITNEY INVESTMENT SERVICES INC.

RIA
CRD#: 40637
DENHAM SPRINGS, LA
Past

July 8, 2008 - October 5, 2021

HANCOCK WHITNEY INVESTMENT SERVICES INC.

BD
CRD#: 40637
DENHAM SPRINGS, LA
Past

January 27, 1998 - November 4, 1999

CAPITAL ONE INVESTMENTS, LLC

BD
CRD#: 17526
NEW ORLEANS, LA
Past

August 15, 1997 - October 1, 1997

MARQUIS INVESTMENTS, L.L.C.

BD
CRD#: 17121
Past

October 16, 1996 - July 3, 1997

BANC ONE SECURITIES CORPORATION

BD
CRD#: 16999
CHICAGO, IL
Past

October 18, 1994 - October 16, 1996

CAPITAL BROKERAGE CORPORATION

BD
CRD#: 10465
GLEN ALLEN, VA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
HW
HANCOCK WHITNEY INVESTMENT SERVICES INC.
HANCOCK INVESTMENT SERVICES, INC. | WHITNEY INVESTMENT SERVICES | HANCOCK WHITNEY INVESTMENT SERVICES INC.

CRD#: 40637 / SEC#: 801-68420, 8-49106

RIA
Registered Investment Advisory firm - SEC (10/24/2007 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

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

State Security Law Exam
IAR
Series 65
Date: 2/7/2020
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/23/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 7/7/2008
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 1/3/1997
General Securities Representative Examination

Current Firm

HW
HANCOCK WHITNEY INVESTMENT SERVICES INC.
HANCOCK INVESTMENT SERVICES, INC. | WHITNEY INVESTMENT SERVICES | HANCOCK WHITNEY INVESTMENT SERVICES INC.

CRD#: 40637 / SEC#: 801-68420, 8-49106

RIA
Registered Investment Advisory firm - SEC (10/24/2007 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information

Main Address
701 Poydras St. Suite 3100, New Orleans, LA 70139
Mailing Address
701 Poydras St. Suite 3100, New Orleans, LA 70139
Phone number
+1 (800) 385-4188
Established
Mississippi since 10/12/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
45

SEC notice filing (3 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (5 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

HWIS ADV PART 2A BROCHURE - MARCH 30, 2025 (3/21/2025)

Direct owners and executive officers

NamePositionCRD#
HANCOCK WHITNEY CORPORATIONSHAREHOLDER
BARTLETT, DONNABROKER DEALER - CHIEF COMPLIANCE OFFICER1813672
LOUPE, PATRICIA KIVESASSISTANT SECRETARY6796549
MILTON, MILES STUARTPRESIDENT/CEO AND DIRECTOR1518016
NICHOALDS, STUART TODDAML/BSA OFFICER6607342
RIGNEY, JOHN MARIO JRRIA-CCO/VP/SECRETARY & DIRECTOR2032572
SCHEXNAYDER, ANITA GREGOIREVICE PRESIDENT/CHIEF FINANCIAL OFFICER & DIRECTOR6453588

Regulatory assets under management

Total Number of Accounts1,031
AUM (Assets Under Management)$ 210,606,113

Disclosures

Regulatory Event2
Arbitration2

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.

Company Information

HANCOCK WHITNEY INVESTMENT SERVICES INC.

CRD#: 40637

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