Arthur M. Kern
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.
Arthur M Kern, who also goes by Arthur M Kalowsky, was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 1968. Arthur had worked at 7 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 16, 1989 - March 14, 2006
KERN, SUSLOW SECURITIES, INC.
June 27, 1989 - July 3, 1989
JOSEPHTHAL & CO., INC.
May 29, 1986 - June 17, 1989
MOSTEL & TAYLOR SECURITIES INC.
January 21, 1977 - November 24, 1987
BOWLING GREEN SECURITIES, INC.
September 12, 1973 - February 5, 1977
PHILIPS, APPEL & WALDEN, INC.
May 11, 1973 - September 24, 1973
CANNON, JEROLD & CO., INC.
February 9, 1968 - June 1, 1973
FERKAUF ROGGEN BRESSMAN & CLASEN
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 8/29/1956
Registered Representative ExaminationCurrent Firm
KERN, SUSLOW SECURITIES, INC.
CRD#: 24755 / SEC#: , 8-41371
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SUSLOW, STEPHEN S | VICE PRESIDENT | 440234 |
| HAMILTON, CHRISTOPHER GEORGE | FINOP, PRESIDENT, CCO | |
| ESTATE OF ARTHUR KERN | OWNER |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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.
