Brian E. Arnott
Professional summary
Brian Eric Arnott is a registered financial professional currently at RICE FINANCIAL PRODUCTS COMPANY 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 4 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Brian Eric Arnott's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 20, 2021 - Present
RICE FINANCIAL PRODUCTS COMPANY
Office #1: 3 Columbus Circle 15th Fl, New York, NY 10019May 20, 2003 - April 16, 2021
BUCKMAN, BUCKMAN & REID, INC.
March 16, 2000 - April 10, 2003
COWEN EXECUTION SERVICES LLC
October 15, 1998 - March 16, 2000
UBS FINANCIAL SERVICES 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
(4/20/2021)
(10/22/2021)
(10/22/2021)
(4/20/2021)
(10/22/2021)
(10/22/2021)
(10/22/2021)
(10/22/2021)
(4/20/2021)
(4/20/2021)
(10/22/2021)
(10/25/2021)
(10/22/2021)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 4/24/2000
Limited Representative-Equity Trader ExamFINRA
Current Firm
RICE FINANCIAL PRODUCTS COMPANY
CRD#: 21606 / SEC#: , 8-39085
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 6 |
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