Mcarthur Jean
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.
Mcarthur Jean was a registered financial professional .
Mcarthur is a previously registered financial professional and started their career in finance in 2003. Mcarthur had worked at 10 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 15, 2013 - May 19, 2014
DALTON STRATEGIC INVESTMENT SERVICES INC.
January 2, 2013 - April 2, 2013
K.C. WARD FINANCIAL
October 6, 2011 - November 26, 2012
IAA FINANCIAL LLC
July 15, 2011 - September 30, 2011
GLOBAL ARENA CAPITAL CORP
June 29, 2011 - July 18, 2011
VFINANCE INVESTMENTS, INC
March 9, 2011 - March 17, 2011
STONEX SECURITIES INC.
October 18, 2010 - November 5, 2010
IAA FINANCIAL LLC
August 30, 2010 - September 27, 2010
NATIONAL SECURITIES CORPORATION
November 30, 2009 - March 4, 2010
IAA FINANCIAL LLC
January 30, 2009 - June 16, 2009
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
June 6, 2008 - December 17, 2008
GUNNALLEN FINANCIAL, INC
January 9, 2004 - September 30, 2005
GUNNALLEN FINANCIAL, INC
December 15, 2003 - January 16, 2004
CONTINENTAL BROKER-DEALER CORP.
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
DALTON STRATEGIC INVESTMENT SERVICES INC.
CRD#: 23485 / SEC#: , 8-40545
Contact information
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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.
