Arvid L. Lokensgard
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.
Arvid Luther Lokensgard was a registered financial advisor .
Arvid is a previously registered financial advisor and started their career in finance in 1968. Arvid had worked at 8 firms and has passed the Series 65, Series 63, Series 3, Series 5, Series 7, Series 000, Series 1 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
September 16, 1997 - December 31, 2002
PIPER SANDLER & CO.
April 12, 1994 - December 31, 2002
PIPER SANDLER & CO.
November 5, 1992 - April 6, 1994
PRUDENTIAL EQUITY GROUP, LLC
July 10, 1990 - November 4, 1992
UBS FINANCIAL SERVICES INC.
January 23, 1990 - June 13, 1990
LEHMAN BROTHERS INC.
May 16, 1986 - November 24, 1989
RESOURCE SECURITIES CORPORATION
July 8, 1985 - May 7, 1986
CARNEGIE SECURITIES CORPORATION
September 28, 1981 - August 28, 1984
E. F. HUTTON & COMPANY INC
August 14, 1980 - September 19, 1981
PRUDENTIAL EQUITY GROUP, LLC
April 23, 1980 - July 1, 1980
INDEPENDENT FINANCIAL PLANNERS CORPORATION
November 27, 1979 - February 2, 1980
PRUDENTIAL EQUITY GROUP, LLC
June 11, 1968 - October 7, 1979
E. F. HUTTON & COMPANY INC
Primary Firm SEC Registration
PIPER SANDLER & CO.
CRD#: 665 / SEC#: 801-108049, 8-15204
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 5
Date: 3/27/1982
Interest Rate Options ExaminationSeries 000
Date: 6/10/1968
General Securities Principal ExaminationSeries 1
Date: 6/10/1968
Registered Representative ExaminationCurrent Firm
PIPER SANDLER & CO.
CRD#: 665 / SEC#: 801-108049, 8-15204
Contact information
SEC notice filing (9 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PIPER SANDLER COMPANIES | PARENT | |
| ABRAHAM, CHAD RICHARD | CHAIRMAN, CEO; BOARD MEMBER | 2190836 |
| CLUNE, KATHERINE PATRICIA | CFO; BOARD MEMBER | 4624219 |
| COX, MICHAEL EDWARD | CO-HEAD OF EQUITIES; BOARD MEMBER | 4248868 |
| DILLAHUNT, MICHAEL RAY | CO-HEAD INV BKG & CAP MKTS; BOARD MEMBER | 3056486 |
| DOYLE, JONATHAN JAY | HEAD OF FINANCIAL SERVICES GROUP | 2108121 |
| GEELAN, JOHN WILLIAM JR. | CHIEF LEGAL OFFICER | 4905460 |
| GERBER, JEREMY JOSEPH | CO HEAD OF PUBLIC FINANCE; BOARD MEMBER | 5071604 |
| LARSEN, BRIDGET TERE | CHIEF COMPLIANCE OFFICER | 6643130 |
| SCHONEMAN, DEBBRA LYNN | PRESIDENT; BOARD MEMBER | 1980635 |
Regulatory assets under management
| Total Number of Accounts | 1 |
| AUM (Assets Under Management) | $ 1,985,004,532 |
Disclosures
| Regulatory Event | 141 |
| Civil Event | 1 |
| Arbitration | 50 |
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.
