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AJ

Arthur L. Jarvis

Some features on this profile are disabled
CRD#: 257578
AJ

Professional summary

Arthur Leroy Jarvis 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 advisor and started their career in finance in 1970. Prior to being barred, Arthur had worked at 9 firms, which includes CROWELL WEEDON & CO., LPL FINANCIAL LLC, LONG SECURITIES CORPORATION, SUTRO & CO. INCORPORATED, E. F. HUTTON & COMPANY INC, MORGAN STANLEY DW INC., DEAN WITTER & CO. INCORPORATED, REYNOLDS SECURITIES INC., LOEB RHOADES & CO.

top-8-questions

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

December 31, 1997 - December 31, 2008

CROWELL, WEEDON & CO.

RIA
CRD#: 193
WESTLAKE VILLAGE, CA
Past

October 25, 1983 - December 31, 2008

CROWELL, WEEDON & CO.

BD
CRD#: 193
WESTLAKE VILLAGE, CA
Past

June 4, 1983 - November 17, 1983

LPL FINANCIAL LLC

BD
CRD#: 6413
Past

June 19, 1982 - August 8, 1986

LONG SECURITIES CORPORATION

BD
CRD#: 6718
Past

August 4, 1981 - June 15, 1982

SUTRO & CO. INCORPORATED

BD
CRD#: 801
Past

October 30, 1978 - July 26, 1981

E. F. HUTTON & COMPANY INC

BD
CRD#: 235
Past

February 24, 1978 - September 1, 1978

MORGAN STANLEY DW INC.

BD
CRD#: 7556
Past

January 12, 1977 - February 24, 1978

DEAN WITTER & CO. INCORPORATED

BD
CRD#: 6466
Past

August 31, 1976 - February 14, 1977

REYNOLDS SECURITIES, INC.

BD
CRD#: 712
Past

February 14, 1975 - October 13, 1976

LOEB RHOADES & CO

BD
CRD#: 1000002
Past

April 23, 1970 - May 12, 1975

E. F. HUTTON & COMPANY INC

BD
CRD#: 235

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
RR
Series 63
Date: 3/19/1980
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 000
Date: 4/20/1970
General Securities Principal Examination
General Industry/Product Exam
RR
Series 1
Date: 4/20/1970
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 11/17/1981
Registered Options Principal Examination

Current Firm

CW
CROWELL, WEEDON & CO.
CROWELL, WEEDON & CO.

CRD#: 193 / SEC#: 801-67246, 8-3710

BD
Terminated by SEC on 02/07/2014
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 01/18/1932
Firm type
Partnership
Fiscal year end
April
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (7/29/2013)
WRAP FEE BROCHURE (7/29/2013)

Direct owners and executive officers

NamePositionCRD#
AMES, RALPH HERBERTGENERAL PARTNER4399
BELLESILES, JACQUES ERNESTGENERAL PARTNER17599
BLAND, DAVID LEEGENERAL PARTNER1099854
CARLSON, RODNEY CHARLESGENERAL PARTNER2285986
CHRISTOPHER, DOUGLAS ANDREAGENERAL PARTNER1995432
COUNCIL, WILLIAM MICHAELGENERAL PARTNER848504
CRONK, JAMES LEEGENERAL PARTNER/COO1104799
CROWELL, ANDREW EDWARDGENERAL PARTNER/CEO1288101
CROWELL, DONALD WARREN JRGENERAL PARTNER1320520
DOUD, CHARLES OREILLYGENERAL PARTNER70836
DOUD, THOMAS JOSEPHGENERAL PARTNER2758142
DOUGHERTY, JAMES WEAVERGENERAL PARTNER1620921
DOYEL, DENNIS MICHAELGENERAL PARTNER1789529
FUNG, EDDIE SHUGENERAL PARTNER2622816
GINSBERG, KLINDT EMILGENERAL PARTNER1846752
GRIFFIN, ALAN MILESGENERAL PARTNER853835
GROSSMAN, ALAN JAYGENERAL PARTNER1225441
HALES, JOHN MORRISGENERAL PARTNER233868
HARRIS, ROBERT CARROLLGENERAL PARTNER1083781
HASSAN, ROBERT HARRISGENERAL PARTNER833059
HOOD, THOMAS JAMESGENERAL PARTNER1297995
JACKSON, STEVEN CHARLESGENERAL PARTNER1358825
KARANTONIS, ANTONIOSGENERAL PARTNER / CFO2331154
KRUGER, JAMES ROYGENERAL PARTNER/CHIEF COMPLIANCE OFFICER1171805
KURATOMI, LINDA KEIKOGENERAL PARTNER1258198
MORITZ, THOMAS ANDREWGENERAL PARTNER1864800
MULLIGAN, STEVEN JAMESGENERAL PARTNER2372962
OLEARY, JOSEPH LENNONGENERAL PARTNER2357537
PAULSON, THEODORE RUSSELLGENERAL PARTNER358333
RAGAN, JAMES DARRELLGENERAL PARTNER1513433
REITNOUER, JOHN FREDERICKGENERAL PARTNER1796658
REITNOUER, LYNN PAULGENERAL PARTNER373927
ROBBINS, KENNETH WILLIAMGENERAL PARTNER2588039
SWANSON, SCOTT MICHAELGENERAL PARTNER2198688
THOMAS, DANIEL SCOTTGENERAL PARTNER2195656
TODD, BLAKE TRAMILLGENERAL PARTNER702561
WEST, THOMAS WESLEYGENERAL PARTNER1162385

Disclosures

Regulatory Event19
Arbitration9

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

CROWELL, WEEDON & CO.

CRD#: 193

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