Richard S. Arthur
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.
Richard Sullivan Arthur, who also goes by Richard Sullivan Arthur Jr, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1999. Richard had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 2, 2016 - October 11, 2016
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
December 6, 2005 - January 6, 2014
OPPENHEIMER & CO. INC.
June 3, 2004 - November 15, 2005
TD AMERITRADE, INC.
April 19, 2004 - August 2, 2004
INVESTEX SECURITIES GROUP, INC.
June 9, 2003 - October 21, 2003
INVESTEX SECURITIES GROUP, INC.
August 28, 2002 - September 12, 2002
BNY MELLON SECURITIES CORPORATION
January 22, 2001 - June 20, 2001
JOSEPH STEVENS & CO., INC.
August 10, 2000 - January 10, 2001
CITICORP INVESTMENT SERVICES
April 3, 2000 - August 16, 2000
JOSEPH STEVENS & CO., INC.
October 26, 1999 - June 15, 2000
FLEET ENTERPRISES, INC.
April 22, 1999 - May 5, 1999
HARRISDIRECT LLC
January 1, 1999 - February 1, 1999
CANTOR FITZGERALD SECURITIES
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
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
CRD#: 18487 / SEC#: , 8-37085
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERICAN PORTFOLIOS HOLDINGS, INC. | 100% SHAREHOLDER | |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| DOLBER, LON TERRY | DIRECTOR | 862635 |
| DOLBER, LON TERRY | CEO & PRESIDENT | 862635 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR | 2627931 |
| SCHLUETER, MATTHEW ADAM | EVP | 2627931 |
| SCHMIDT, DAVID MARTIN | FINANCIAL & OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
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.
