Arra Poghossian
Professional summary
Arra Poghossian was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Arra Poghossian was a registered financial advisor .
Arra is a previously registered financial advisor and started their career in finance in 1997. Arra had worked at 12 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 4, 2013 - July 2, 2014
SCOTTRADE, INC.
October 8, 2012 - May 28, 2013
TD AMERITRADE, INC.
October 8, 2012 - May 28, 2013
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
October 8, 2012 - May 28, 2013
TD AMERITRADE, INC.
February 8, 2012 - June 21, 2012
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
June 29, 2009 - June 21, 2012
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
March 13, 2008 - May 30, 2009
SECURITIES AMERICA ADVISORS, INC.
March 4, 2008 - May 30, 2009
SECURITIES AMERICA, INC.
September 27, 2004 - February 29, 2008
FIRST HORIZON ADVISORS, INC.
September 27, 2004 - February 29, 2008
FIRST HORIZON ADVISORS, INC.
July 19, 2004 - September 28, 2004
AMERIPRISE ADVISOR SERVICES, INC.
June 28, 2004 - September 28, 2004
AMERIPRISE ADVISOR SERVICES, INC.
January 15, 2002 - December 17, 2002
CHARLES SCHWAB & CO., INC.
February 3, 2000 - April 28, 2004
CHARLES SCHWAB & CO., INC.
January 1, 1999 - February 14, 2000
MORGAN STANLEY DW INC.
February 5, 1997 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
February 5, 1997 - November 2, 1998
SIGNATOR INVESTORS, 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
Exams
Current Firm
SCOTTRADE, INC.
CRD#: 8206 / SEC#: , 8-24760
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TD AMERITRADE ONLINE HOLDINGS CORP. | OWNER | |
| BOUDROT, SUSAN M | CHIEF COMPLIANCE OFFICER | 2472538 |
| BOYLE, STEPHEN JOHN | CHIEF FINANCIAL OFFICER | 6501238 |
| DESILVA, PETER JAMES | PRESIDENT, DIRECTOR | 1740057 |
| KIMM, DAVID ROBERT | CHIEF RISK OFFICER | 722941 |
| NALLY, THOMAS ANDREW | EVP, INSTITUTIONAL SERVICES | 2479301 |
| QUIRK, STEVEN MARK | SVP, TRADER GROUP | 2728768 |
| RICKETTS, JUDITH K | VP, MD OPERATIONS | 2758924 |
| YATES, WILLIAM THOMAS | TREASURER, FINOP | 2749545 |
Disclosures
| Regulatory Event | 51 |
| Arbitration | 33 |
| Bond | 1 |
Red Flags
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