Arthur A. Clyne
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 Alexander Clyne III, CFP®, who also goes by Arthur Alexander Clyne III III, was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 2005. Arthur had worked at 3 firms and has passed the Series 63, Series 66, SIE, Series 7, Series 31 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 18, 2021 - August 14, 2023
COMMERCE BROKERAGE SERVICES, INC.
July 29, 2021 - August 14, 2023
COMMERCE BROKERAGE SERVICES, INC.
March 18, 2016 - July 3, 2019
COMMERCE BROKERAGE SERVICES, INC.
September 29, 2015 - July 3, 2019
COMMERCE BROKERAGE SERVICES, INC.
September 14, 2012 - July 15, 2015
UMB FINANCIAL SERVICES, INC.
June 8, 2005 - August 16, 2006
MORGAN STANLEY DW INC.
May 25, 2005 - August 16, 2006
MORGAN STANLEY DW 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
COMMERCE BROKERAGE SERVICES, INC.
CRD#: 17140 / SEC#: 801-66509, 8-35096
Contact information
FINRA licenses (46 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMMERCE BANK | SOLE STOCKHOLDER | |
| CHMELKA, JOHN EMIL | PRINCIPAL OPERATIONS OFFICER | 2052962 |
| HARMON, THOMAS DARIN | PRESIDENT/CHIEF EXECUTIVE OFFICER | 7787415 |
| MOWER, MATHEW ROBERT | SENIOR VICE PRESIDENT | 3176197 |
| REECE, JOSEPH STEVEN | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | 2227282 |
| ROWE, MARGARET | CORPORATE SECRETARY | 7576973 |
| SIMPSON, TIFFANY LYNN | TREASURER/CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER | 6685507 |
| SWANSON, ERIK ANDREW | EXECUTIVE VICE PRESIDENT | 4170204 |
Regulatory assets under management
| Total Number of Accounts | 3,570 |
| AUM (Assets Under Management) | $ 650,363,405 |
Disclosures
| Regulatory Event | 5 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
