Arthur J. Anderson
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 James Anderson JR. was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 2000. Arthur had worked at 3 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
January 3, 2002 - November 13, 2002
LEGACY FINANCIAL SERVICES, INC.
January 5, 2001 - November 28, 2001
CONSECO SECURITIES, INC.
November 16, 2000 - January 2, 2001
AMERICAN CLASSIC SECURITIES, INC.
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
LEGACY FINANCIAL SERVICES, INC.
CRD#: 38697 / SEC#: , 8-48360
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
| Civil Event | 1 |
| Arbitration | 3 |
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.
