Lacy M. Arnold
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.
Lacy M Arnold, who also goes by Lacy M Lockwood, Lacy Michelle Patterson, was a registered financial professional .
Lacy is a previously registered financial professional and started their career in finance in 2014. Lacy had worked at 2 firms and has passed the Series 66, SIE 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
February 11, 2016 - October 26, 2022
BIVIN & ASSOCIATES, INC.
January 1, 2014 - December 20, 2016
OSAIC SERVICES, 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
BIVIN & ASSOCIATES, INC.
CRD#: 111688 / SEC#: 801-121511
Contact information
Regulatory assets under management
| Total Number of Accounts | 478 |
| AUM (Assets Under Management) | $ 129,003,852 |
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.
