Arthur N. Gravanis
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 N Gravanis, who also goes by Arthur N Gravanis, Arthur Gravanis, Arthur Nicholas Gravanis, was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 1998. Arthur had worked at 9 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 11, 2019 - March 20, 2020
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
July 18, 2018 - December 21, 2018
MML INVESTORS SERVICES, LLC
January 4, 2016 - July 18, 2016
THE LEADERS GROUP, INC.
December 18, 2012 - November 3, 2015
WELLS FARGO CLEARING SERVICES, LLC
February 25, 2011 - November 3, 2015
WELLS FARGO CLEARING SERVICES, LLC
June 16, 2009 - January 21, 2011
THE LEADERS GROUP, INC.
April 16, 2008 - June 22, 2009
WOODBURY FINANCIAL SERVICES, INC.
April 8, 2008 - April 27, 2009
HIMCO DISTRIBUTION SERVICES COMPANY
January 1, 2008 - April 2, 2008
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - April 2, 2008
WELLS FARGO CLEARING SERVICES, LLC
February 15, 2006 - January 1, 2008
A. G. EDWARDS & SONS, INC.
July 29, 1999 - January 3, 2008
A. G. EDWARDS & SONS, INC.
July 1, 1998 - June 7, 1999
COWEN AND COMPANY
April 30, 1998 - July 1, 1998
FINANCIAL SQUARE PARTNERS
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
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
