Arlen E. Sindon
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 Earle Sindon was a registered financial professional .
Arlen is a previously registered financial professional and started their career in finance in 1963. Arlen had worked at 17 firms and has passed the Series 63, Series 3, PC 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
February 1, 2006 - June 27, 2014
STOCKCROSS FINANCIAL SERVICES, INC.
February 9, 2004 - August 9, 2004
AMERIPRISE ADVISOR SERVICES, INC.
February 16, 2001 - October 30, 2002
CITIGROUP GLOBAL MARKETS INC.
November 7, 1997 - February 14, 2001
TD AMERITRADE, INC.
September 13, 1991 - November 7, 1997
KENNEDY, CABOT & CO.
February 11, 1991 - September 22, 1992
GLIKSMAN SECURITIES CORP.
June 21, 1990 - January 11, 1991
LEHMAN BROTHERS INC.
February 26, 1990 - July 27, 1990
VFG SECURITIES, INC.
September 12, 1988 - October 17, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
February 16, 1988 - August 16, 1988
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
February 24, 1978 - March 16, 1988
MORGAN STANLEY DW INC.
November 11, 1977 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
October 15, 1976 - December 3, 1977
LOEB, RHOADES & CO. INC.
May 12, 1975 - October 20, 1976
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
June 14, 1974 - April 7, 1975
BLYTH EASTMAN DILLON & CO. INCORPORATED
December 7, 1970 - July 10, 1974
HAYDEN STONE INC.
April 22, 1963 - August 3, 1971
BACHE & 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: 7/16/1990
AMEX Put and Call ExamSeries 1
Date: 3/1/1962
Registered Representative ExaminationCurrent Firm
STOCKCROSS FINANCIAL SERVICES, INC.
CRD#: 6670 / SEC#: 801-69705, 8-17758
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GEBBIA, JOHN MICHAEL | DIRECTOR, EVP | 1866455 |
| GEBBIA, RICHARD SAL | CEO, PRESIDENT, DIRECTOR | 2348552 |
| MURIEL SIEBERT & CO., INC. | OWNER | 5376 |
| COLOMBINO, MICHAEL JONATHAN | CFO; TREASURER | 4871852 |
| DIPIPPO, ALBERT FRANCIS | ROSFP | 726636 |
| LOGUE, DANIEL PATRICK | CHIEF COMPLIANCE OFFICER; AMLCO | 1501135 |
| SCHEBECE, GREGORY CHARLES | EXECUTIVE VICE PRESIDENT, COO | 1498632 |
| SHANKMAN, CRAIG MICHAEL | DIRECTOR OF TECHNOLOGY | |
| TASSELL, MATTHEW ERIC | DIRECTOR OF CORPORATE SERVICES | |
| ZABATTA, CHARLES ANTHONY SR | OWNER |
Disclosures
| Regulatory Event | 20 |
| 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.
