Arlen R. Blackwell
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.
Arlen Ray Blackwell II, CFP®, who also goes by II Arlen Ray Blackwell, Tiger Blackwell Ii, was a registered financial professional .
Arlen is a previously registered financial professional and started their career in finance in 1998. Arlen had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2007
Experience
January 19, 2021 - November 12, 2021
LPL FINANCIAL LLC
January 19, 2021 - November 12, 2021
LPL FINANCIAL LLC
July 7, 2015 - January 22, 2021
STIFEL, NICOLAUS & COMPANY, INCORPORATED
July 7, 2015 - January 22, 2021
STIFEL, NICOLAUS & COMPANY, INCORPORATED
March 24, 2009 - July 7, 2015
INTL ADVISORY CONSULTANTS INC.
March 24, 2009 - July 7, 2015
STERNE, AGEE & LEACH, INC.
February 4, 2008 - March 25, 2009
STANFORD GROUP COMPANY
February 4, 2008 - March 25, 2009
STANFORD GROUP COMPANY
March 1, 2006 - February 15, 2008
RAYMOND J. LUCIA COMPANIES, INC.
June 11, 2004 - February 5, 2008
SECURITIES AMERICA ADVISORS, INC.
August 29, 2000 - February 5, 2008
SECURITIES AMERICA, INC.
December 7, 1998 - April 26, 2000
METROPOLITAN LIFE INSURANCE COMPANY
December 7, 1998 - April 26, 2000
MSI FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
