Otto C. Arnold
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.
Otto Carlos Enrique Arnold, who also goes by Otto Carlos Arnold, was a registered financial professional .
Otto is a previously registered financial professional and started their career in finance in 1996. Otto had worked at 3 firms and has passed the Series 65, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 7, 2015 - May 1, 2023
CGIS SECURITIES LLC
February 6, 2015 - July 7, 2015
CGIS SECURITIES LLC
September 8, 2000 - June 5, 2002
INSIGNEO INTERNATIONAL FINANCIAL SERVICES LLC
July 11, 1996 - July 15, 1997
PRUDENTIAL EQUITY GROUP, LLC
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
Current Firm
CGIS SECURITIES LLC
CRD#: 155984 / SEC#: , 8-68758
Contact information
FINRA licenses (6 States and Territories)
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.
