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Arthur Ophir Carmel

CRD# 4962767·Registered 2006 - 2020
Previously Registered: Being a previously registered professional could mean that Arthur 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.

Professional Summary

Arthur Ophir Carmel, who also goes by Arthur O Carmel, was a registered financial advisor. Arthur was a previously registered financial professional and started their career in finance 2006 - 2020. Arthur had worked at 8 firms and has passed the Series 63, Series 7TO, SIE and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Arthur O Carmel

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

20 years in the financial services industry

Current & Past Employments

OHANAE SECURITIES LLC·CRD# 304656
BD
New York, NY
April 6, 2020 - September 11, 2020
RPX SECURITIES LLC·CRD# 297800
BD
New York, NY
March 18, 2019 - August 9, 2019
OPENDEAL BROKER LLC·CRD# 297797
BD
New York, NY
March 8, 2019 - July 19, 2019
PEI GLOBAL PARTNERS LLC·CRD# 297979
BD
New York, NY
January 8, 2019 - October 21, 2020
CROSSBOW INVESTMENTS L.L.C·CRD# 42181
BD
New York, NY
September 26, 2017 - April 2, 2018
COMMONWEALTH AUSTRALIA SECURITIES LLC·CRD# 136321
BD
New York, NY
November 15, 2012 - November 25, 2015
CENTRUM SECURITIES LLC·CRD# 148474
BD
New York, NY
November 12, 2008 - February 1, 2012
ICICI SECURITIES INC.·CRD# 104285
BD
Singapore
July 18, 2006 - March 26, 2008

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Current Firm

OS
OHANAE SECURITIES LLC

OHANAE SECURITIES LLC | QUICKSILVER SECURITIES LLC

CRD#: 304656 / SEC#: 8-70389
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)

Contact Information

Main Address

1460 Broadway, New York, NY 10036

Mailing Address

1460 Broadway, New York, NY 10036

Phone Number

(212) 796-1531

Established

New York since 06/19/2019

Firm Type

Limited Liability Company

Fiscal Year End

March

Firm Size

Small

FINRA licenses (1 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Direct owners and executive officers

NamePositionCRD#
OHANAE INC.MEMBER—
ROTHENBERG, SHARI PFINOP6590875
VERDONE, JAMES JOSEPHCEO/CCO2581251

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Aug 2006About the Series 63 exam

Series 7TO — General Securities Representative Examination

Passed Dec 2022About the Series 7TO exam

SIE — Securities Industry Essentials Examination

Passed Apr 2018About the SIE exam

Series 24 — General Securities Principal Examination

Passed Dec 2022About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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