Arthur H. Robbins
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 Harry Robbins was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 2000. Arthur had worked at 5 firms and has passed the Series 63 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
Experience
October 1, 2007 - December 31, 2013
BROKER DEALER FINANCIAL SERVICES CORP.
February 9, 2005 - June 23, 2006
KCD FINANCIAL, INC.
October 29, 2002 - January 21, 2005
FIRST STATE FINANCIAL MANAGEMENT, INC.
August 9, 2001 - November 7, 2002
PRUCO SECURITIES, LLC.
January 28, 2000 - December 20, 2000
CETERA FINANCIAL SPECIALISTS LLC
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
BROKER DEALER FINANCIAL SERVICES CORP.
CRD#: 8073 / SEC#: , 8-24220
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
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.
