Arthur M. Wall
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 Michael Wall was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 1986. Arthur had worked at 9 firms and has passed the Series 63, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 19, 2012 - July 23, 2013
CANACCORD GENUITY LLC
March 26, 2012 - March 29, 2012
CANACCORD GENUITY LLC
September 13, 2010 - September 27, 2012
CANACCORD GENUITY SECURITIES LLC
February 13, 2009 - September 13, 2010
H.C.WAINWRIGHT & CO., LLC
January 24, 1997 - November 7, 2006
TP ICAP GLOBAL MARKETS AMERICAS LLC
October 8, 1996 - December 31, 2004
GARBAN CAPITAL MARKETS LLC
March 25, 1996 - April 30, 1996
DOLEY SECURITIES, LLC.
October 25, 1995 - October 15, 1996
EVOLUTION SECURITIES US INC.
August 26, 1991 - September 30, 1994
CREDIT SUISSE SECURITIES (USA) LLC
May 22, 1986 - July 18, 1991
MORGAN STANLEY & CO. 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
Series 1
Date: 5/3/1973
Registered Representative ExaminationSeries 40
Date: 11/30/1978
Registered Principal ExaminationCurrent Firm
CANACCORD GENUITY LLC
CRD#: 1020 / SEC#: , 8-3271
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CANACCORD ADAMS (DELAWARE) INC. | PARENT | |
| ANDERSON, SCOTT WINFREE | CHIEF COMPLIANCE OFFICER | 5800524 |
| BARLOW, JEFFREY GRIFFIN | CHIEF EXECUTIVE OFFICER, PRESIDENT, EXECUTIVE DIRECTOR | 2277052 |
| DAVIAU, DANIEL JOSEPH | NON- EXECUTIVE DIRECTOR | 6096472 |
| MACFAYDEN, DONALD DUNCAN | EXECUTIVE DIRECTOR, CFO & FINANCIAL & OPERATIONS PRINCIPAL | 5390198 |
| PARDI SQUITIERI, JENNIFER ELLEN | EXECUTIVE DIRECTOR | 4922719 |
| PROUD, EMILY PRESSMAN | CHIEF OPERATING OFFICER | 5815542 |
| TEIPNER, LARISSA KYLE | US GENERAL COUNSEL |
Disclosures
| Regulatory Event | 45 |
| Bond | 1 |
Red Flags
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