Arthur C. Tanner
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 Curtis Tanner JR, who also goes by Arthur C (jr) Tanner, was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 1997. Arthur had worked at 4 firms and has passed the Series 63, Series 66, Series 7, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 4, 1999 - February 26, 2004
CGI CAPITAL, INC.
April 26, 1999 - November 3, 1999
QUEST CAPITAL STRATEGIES, INC.
October 29, 1998 - November 23, 1998
OSAIC WEALTH, INC.
December 18, 1997 - September 21, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
CGI CAPITAL, INC.
CRD#: 42133 / SEC#: , 8-49712
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CIRCLE GROUP INTERNET | 100% SHAREHOLDER | |
| HALPERN, GREGORY JESS | DIRECTOR | |
| TANNER, ARTHUR CURTIS JR | PRESIDENT | 2960619 |
Disclosures
| Regulatory Event | 3 |
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.
