Arthur Seals
Professional summary
Arthur Seals, who also goes by Art Seals, is a registered financial professional currently at ALLIANCEBERNSTEIN INVESTMENTS, INC. located in Nashville, Tennessee.
Arthur is registered as a RR (Registered Representative) and started their career in finance in 1996. Arthur has worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 62, Series 9, Series 10 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Arthur Seals's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 7, 2024 - Present
ALLIANCEBERNSTEIN INVESTMENTS, INC.
Office #1: 501 Commerce Street, Nashville, TN 37203May 13, 2021 - November 5, 2024
WELLS FARGO CLEARING SERVICES, LLC
February 5, 2016 - June 29, 2020
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
May 13, 2014 - January 8, 2016
WELLS FARGO CLEARING SERVICES, LLC
May 7, 2014 - January 8, 2016
WELLS FARGO CLEARING SERVICES, LLC
April 5, 2013 - February 24, 2014
GLOBAL ATLANTIC DISTRIBUTORS, LLC
September 12, 2012 - March 11, 2013
LOWELL & COMPANY, INC.
July 10, 2012 - March 11, 2013
LOWELL & COMPANY, INC.
May 14, 2010 - June 20, 2012
RIVERSOURCE DISTRIBUTORS, INC.
September 2, 2009 - February 8, 2010
LIGHTSTONE SECURITIES, LLC
May 2, 2007 - August 21, 2009
PACIFIC CORNERSTONE CAPITAL INCORPORATED
January 1, 2007 - May 7, 2007
RIVERSOURCE DISTRIBUTORS, INC.
May 22, 2006 - January 1, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
October 22, 2002 - February 23, 2006
NATIONWIDE INVESTMENT SERVICES CORPORATION
July 7, 1999 - June 25, 2002
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
September 2, 1998 - April 20, 1999
FIRST UNION BROKERAGE SERVICES, INC.
November 12, 1997 - August 20, 1998
BANK UNITED SECURITIES CORP.
June 28, 1996 - November 13, 1997
MORGAN STANLEY DW INC.
February 13, 1996 - July 10, 1996
FIRST ASSET MANAGEMENT, 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
(11/7/2024)
Exams
Series 62
Date: 2/12/1996
Corporate Securities Limited Representative ExaminationFINRA
Current Firm
ALLIANCEBERNSTEIN INVESTMENTS, INC.
CRD#: 14549 / SEC#: , 8-30851
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLIANCEBERNSTEIN CORPORATION OF DELAWARE ("ABCD") | PARENT OF REGISTRANT | |
| ARCHARD, NOEL CHRISTIAN | HEAD OF ETF AND PORTFOLIO SOLUTIONS | 2563745 |
| GESSNER, MARK ANDREW | CHIEF EXECUTIVE OFFICER | 2447287 |
| KRUEGER, GARY MICHAEL | DIRECTOR, CHIEF FINANCIAL OFFICER | 2840211 |
| MANLEY, MARK RANDALL | DIRECTOR AND CORPORATE SECRETARY | 1294370 |
| WRIGHT, DANIEL EUGENE | CHIEF COMPLIANCE OFFICER | 2204732 |
Disclosures
| Regulatory Event | 5 |
Red Flags
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