Arthur S. Learner
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 Sherman Learner was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 1963. Arthur had worked at 5 firms .
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 24, 1996 - May 12, 2000
ESSEX NATIONAL SECURITIES, LLC
October 13, 1995 - December 31, 1995
SAFEGUARD SECURITIES, INC.
April 8, 1981 - April 28, 1983
NATIONWIDE INVESTMENT SERVICES CORPORATION
July 22, 1974 - August 20, 1974
HARTFORD VARIABLE ANNUITY LIFE LIFE INSURANCE COMPANY
December 18, 1963 - February 24, 1995
C.L. FREDERICKS CO., INC.
State Registrations and Notice Filings
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Exams
Current Firm
ESSEX NATIONAL SECURITIES, LLC
CRD#: 25454 / SEC#: 801-70990, 8-41750
Contact information
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
Red Flags
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