Arthur N. Weissman
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 N Weissman was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 2007. Arthur had worked at 4 firms and has passed the Series 66 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
July 24, 2009 - August 7, 2014
DIASTOLE WEALTH MANAGEMENT
July 24, 2009 - October 8, 2010
ETC BROKERAGE SERVICES, LLC
June 1, 2009 - August 14, 2009
MORGAN STANLEY
June 1, 2009 - August 14, 2009
MORGAN STANLEY
April 18, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
June 6, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
DIASTOLE WEALTH MANAGEMENT
CRD#: 111604 / SEC#: 801-57610
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
DIASTOLE WEALTH MANAGEMENT
CRD#: 111604 / SEC#: 801-57610
Contact information
SEC notice filing (13 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,434 |
| AUM (Assets Under Management) | $ 396,019,097 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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