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BA

Brian E. Arnott

GTS EXECUTION SERVICES LLC
New York, NY 10011
Some features on this profile are disabled
CRD#: 2906531
BA

Professional summary

Brian Eric Arnott is a registered financial professional currently at GTS EXECUTION SERVICES LLC located in New York, New York and MISCHLER FINANCIAL GROUP, INC. located in New York, New York.

Brian is registered as a RR (Registered Representative) and started their career in finance in 1998. Brian has worked at 6 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 4 exams.

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) - BD

Click below to view Brian Eric Arnott's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

December 18, 2025 - Present

GTS EXECUTION SERVICES LLC

Office #1: 625 Avenue Of Americas 3rd Floor, New York, NY 10011
BD
CRD#: 306364
New York, NY
Current

December 22, 2025 - Present

MISCHLER FINANCIAL GROUP, INC.

Office #1: 625 Avenue Of Americas 3rd Floor, New York, NY, 10011
BD
CRD#: 37818
New York, NY
Past

April 20, 2021 - December 15, 2025

RICE FINANCIAL PRODUCTS COMPANY

BD
CRD#: 21606
NEW YORK, NY
Past

May 20, 2003 - April 16, 2021

BUCKMAN, BUCKMAN & REID, INC.

BD
CRD#: 23407
little silver, NJ
Past

March 16, 2000 - April 10, 2003

COWEN EXECUTION SERVICES LLC

BD
CRD#: 35693
NEW YORK, NY
Past

October 15, 1998 - March 16, 2000

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(12/22/2025)
RR
New York
(12/18/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 6/8/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 4/24/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 10/13/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 6/24/2002
Registered Options Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange

Current Firm

MF
MISCHLER FINANCIAL GROUP, INC.
DILTANA COMPANY, INC. | MISCHLER FINANCIAL GROUP, INC.

CRD#: 37818 / SEC#: , 8-48067

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
19800 Macarthur Blvd. Suite 600, Irvine, CA 92612
Mailing Address
19800 Macarthur Blvd. Suite 600, Irvine, CA 92612
Phone number
(949) 720-0640
Established
California since 11/22/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (50 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
CHAMBERLAIN, DEAN ARTHURCHIEF EXECUTIVE OFFICER / DIRECTOR/ CHAIRMAN2262338
HOLMES, DOYLE LAVERNPRESIDENT, CHIEF OPERATION OFFICER-FINOP, CHIEF COMPLIANCE OFFICER, DIRECTOR1556260
GTS FINANCIAL LLCOWNER

Disclosures

Regulatory Event6

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

MISCHLER FINANCIAL GROUP, INC.

CRD#: 37818New York, NY 10011

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