Joseph C. Arant
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.
Joseph Charles Arant, who also goes by Joe C. Arant, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 2001. Joseph had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7 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
May 13, 2019 - August 7, 2019
USAA INVESTMENT SERVICES COMPANY
May 13, 2019 - August 7, 2019
USAA FINANCIAL ADVISORS, INC.
March 23, 2019 - May 8, 2019
PFS INVESTMENTS INC.
November 2, 2017 - February 5, 2018
T. ROWE PRICE ADVISORY SERVICES, INC.
November 2, 2017 - February 5, 2018
T. ROWE PRICE INVESTMENT SERVICES, INC.
July 26, 2017 - December 13, 2017
7300 WEALTH MANAGEMENT, LLC.
August 30, 2013 - May 16, 2017
WELLS FARGO CLEARING SERVICES, LLC
August 30, 2013 - May 16, 2017
WELLS FARGO CLEARING SERVICES, LLC
December 22, 2009 - September 5, 2013
MORGAN STANLEY
September 30, 2009 - September 5, 2013
MORGAN STANLEY
August 3, 2006 - September 9, 2009
LINCOLN INVESTMENT
June 21, 2006 - September 9, 2009
LINCOLN INVESTMENT
April 27, 2005 - May 31, 2006
METROPOLITAN LIFE INSURANCE COMPANY
April 27, 2005 - May 31, 2006
MSI FINANCIAL SERVICES, INC.
June 7, 2004 - April 12, 2005
STUART SECURITIES CORP.
May 3, 2001 - December 31, 2002
OSAIC FS, INC.
Primary Firm SEC Registration
USAA INVESTMENT SERVICES COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
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
USAA INVESTMENT SERVICES COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| USAA INVESTMENT CORPORATION (PARENT CO.) | SHAREHOLDER | |
| BEALL, KEVIN DOUGLAS | VICE PRESIDENT, DIRECTOR | 4202452 |
| CARTER, BRANDON DANE | DIRECTOR, CHAIRMAN OF THE BOARD | 2939393 |
| ECK, FRANK THOMAS IV | SECRETARY | 7979835 |
| FLORES, JENNIFER MARGRET | FINOP AND PRINCIPAL FINANCIAL OFFICER | 4175069 |
| HANKS, KARE ELIZABETH | DIRECTOR, VICE PRESIDENT | 2883762 |
| MUIR, JAMES DYER | CHIEF COMPLIANCE OFFICER | 2801996 |
| PEREZ-ROSSELLO, MADELINE IVETTE | ASSISTANT VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 4033239 |
| STORK, MARY ELIZABETH | DIRECTOR | 2960253 |
| WHITE, WILLIAM SWEENEY | PRESIDENT, VICE-CHAIRMAN, DIRECTOR | 4843743 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 4 |
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.
