Arthur G. Gottlieb
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 Gary Gottlieb was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 1998. Arthur had worked at 1 firm and has passed the Series 63, SIE, Series 7, Series 62, Series 28 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 21, 1998 - July 23, 2018
ALANTRA, LLC
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
Series 62
Date: 4/20/1998
Corporate Securities Limited Representative ExaminationSeries 28
Date: 10/19/2012
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
ALANTRA, LLC
CRD#: 22095 / SEC#: , 8-40465
Contact information
FINRA licenses (5 States and Territories)
Documents
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.
