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JA

Joana A. Arthur

Some features on this profile are disabled
CRD#: 2656385
JA

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.

Joana Aba Arthur, CFA was a registered financial professional .

Joana is a previously registered financial professional and started their career in finance in 1995. Joana had worked at 3 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

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®
CFA

Chartered Financial Analyst

Experience

Past

July 11, 2013 - December 1, 2016

ASHMORE INVESTMENT MANAGEMENT (US) CORPORATION

BD
CRD#: 152920
ARLINGTON, VA
Past

December 24, 1998 - February 14, 2001

ROBERT FLEMING INC.

BD
CRD#: 1711
NEW YORK, NY
Past

November 14, 1995 - December 23, 1998

FLEMING MARTIN INC.

BD
CRD#: 34234
NEW YORK, NY

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: 3/3/2014
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 12/19/2002
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/1/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/11/2013
General Securities Representative Examination

Current Firm

AI
ASHMORE INVESTMENT MANAGEMENT (US) CORPORATION
ASHMORE INVESTMENT MANAGEMENT (US) CORPORATION

CRD#: 152920 / SEC#: , 8-68490

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
437 Madison Avenue Suite 1904, New York, NY 10022
Mailing Address
437 Madison Avenue Suite 1904, New York, NY 10022
Phone number
(212) 661-0061
Established
Delaware since 10/31/2008
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
ASHMORE INVESTMENTS UK LTDOWNER
GRUNEBAUM, GEORGE PETERCEO2282530
RUDMAN, STEPHEN MARKCCO1884798
STEWART, SCOTT ALEXANDERFINOP6977422

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

ASHMORE INVESTMENT MANAGEMENT (US) CORPORATION

CRD#: 152920

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