Arnold S. Ross
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 Seymour Ross, who also goes by Arnold S Ross, was a registered financial professional .
Arnold is a previously registered financial professional and started their career in finance in 1968. Arnold had worked at 4 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 13, 2001 - April 10, 2014
ROSS SECURITIES CORPORATION
March 24, 2000 - December 20, 2001
NATHAN & LEWIS SECURITIES, INC.
September 25, 1992 - October 27, 2009
NEW ENGLAND SECURITIES
February 23, 1968 - February 28, 2000
HSM&R FINANCIAL SERVICES CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 7/14/1958
Registered Representative ExaminationCurrent Firm
ROSS SECURITIES CORPORATION
CRD#: 113796 / SEC#: , 8-53361
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROSS, NORMAN EDMOND | PRESIDENT, CCO, CUSTODIAN | 2258201 |
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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