Arnold M. Nazarian
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.
Arnold Monoog Nazarian was a registered financial professional .
Arnold is a previously registered financial professional and started their career in finance in 1970. Arnold had worked at 12 firms and has passed the Series 63, SIE, PC, Series 1, Series 24, Series 53, Series 4 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 3, 2012 - December 31, 2016
REGAL SECURITIES, INC.
July 12, 2012 - August 3, 2012
L.M. KOHN & COMPANY
August 9, 2001 - July 23, 2012
LEONARD & COMPANY
July 10, 2001 - August 7, 2001
LASALLE ST SECURITIES, L.L.C.
September 4, 1998 - July 18, 2001
KEYBANC CAPITAL MARKETS INC.
February 23, 1998 - September 4, 1998
ESSEX CAPITAL MARKETS, INC.
August 21, 1996 - February 4, 1998
LEONARD & COMPANY
January 2, 1992 - August 28, 1996
SAPERSTON FINANCIAL INC.
September 30, 1985 - December 18, 1991
ADVEST, INC.
March 3, 1980 - September 30, 1985
BURGESS & LEITH INCORPORATED
June 25, 1979 - December 24, 1981
LEHMAN BROTHERS INC.
May 10, 1978 - June 25, 1979
LOEB PARTNERS
August 25, 1970 - May 20, 1978
L. F. ROTHSCHILD & CO. INCORPORATED
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
PC
Date: 6/4/1980
AMEX Put and Call ExamSeries 1
Date: 2/7/1969
Registered Representative ExaminationSeries 12
Date: 1/26/1980
NYSE Branch Manager ExaminationCurrent Firm
REGAL SECURITIES, INC.
CRD#: 7297 / SEC#: , 8-21765
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BOKIOS, GEORGE | CHAIRMAN OF THE BOARD/SOLE DIRECTOR/CHIEF EXECUTIVE OFFICER/CHIEF FINANCIAL OFFICER | 718774 |
| VILLAFLOR, ROBERT FUSTER | SHAREHOLDER | 2374555 |
| AKSOMITAITE, SKAISTE | VICE PRESIDENT AND FINOP | 4852873 |
| BOKIOS, EUGENIA THEADORA MS | SENIOR VICE PRESIDENT & GENERAL COUNSEL | 2392199 |
| BOKIOS, VICTORIA THEADORA | TREASURER/SECRETARY | 2421318 |
| ENGELBRECHT, JEREMY AARON | CHIEF COMPLIANCE OFFICER (INTERIM) | 3277607 |
| HERRIN, SHAWN EVERETT | PRESIDENT | 2311476 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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