Arthur F. Testani
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 Frank Testani was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 2009. Arthur had worked at 6 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 1, 2018 - December 23, 2019
IAMS WEALTH MANAGEMENT, LLC
August 17, 2016 - December 15, 2017
ALLSTATE FINANCIAL ADVISORS, LLC
August 17, 2016 - December 15, 2017
ALLSTATE FINANCIAL SERVICES, LLC
April 18, 2016 - June 6, 2016
WORLD EQUITY GROUP, INC.
March 29, 2016 - June 6, 2016
WORLD EQUITY GROUP, INC.
November 8, 2012 - December 31, 2015
WORLD EQUITY GROUP, INC.
November 7, 2012 - December 31, 2015
WORLD EQUITY GROUP, INC.
July 20, 2010 - November 6, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 19, 2010 - November 6, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 3, 2009 - July 21, 2010
MORGAN STANLEY
November 12, 2009 - July 21, 2010
MORGAN STANLEY
Primary Firm SEC Registration
IAMS WEALTH MANAGEMENT, LLC
CRD#: 286085 / SEC#: 801-108875
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
IAMS WEALTH MANAGEMENT, LLC
CRD#: 286085 / SEC#: 801-108875
Contact information
SEC notice filing (40 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,104 |
| AUM (Assets Under Management) | $ 343,012,390 |
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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