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Arnaud E Lamotte

CRD# 6056675·Registered 2012 - 2014
Previously Registered: Being a previously registered professional could mean that Arnaud 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

Arnaud E Lamotte was a registered financial advisor. Arnaud was a previously registered financial professional and started their career in finance 2012 - 2014. Arnaud had worked at 1 firm and has passed the Series 55 and Series 7 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

There are no additional aliases reported.

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Videos & Posts

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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

14 years in the financial services industry

Current & Past Employments

SAL EQUITY TRADING, GP·CRD# 29337
BD
Bala Cynwyd, PA
May 16, 2012 - January 31, 2014

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Current Firm

SE
SAL EQUITY TRADING, GP

BODEL, INC. | SUSQUEHANNA CAPITAL GROUP | SAL EQUITY TRADING, GP

CRD#: 29337 / SEC#: 8-43174
BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

Contact Information

Main Address

401 City Avenue Suite 220, Bala Cynwyd, PA 19004-1122

Mailing Address

401 City Avenue Suite 220, Bala Cynwyd, PA 19004-1122

Phone Number

(610) 617-3000

Established

Delaware since 01/02/1995

Firm Type

Partnership

Fiscal Year End

December

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#
SAL EQUITY HOLDING, LLCGENRAL PARTNER—
DANIELS, ETHAN SCOTTPOO5902179
FARLEY, MEGHAN ELIZABETHFINOP7965658
GOLDBERG, ALAN BARRYCHIEF EXECUTIVE OFFICER2340315
RORKE, BRIAN WALLACECHIEF COMPLIANCE OFFICER4475071
SAL EQUITY PARTNER, LLCGENRAL PARTNER—

Disclosures

Regulatory Event

16

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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 55 — Limited Representative-Equity Trader Exam

Passed Dec 2012

Series 7 — General Securities Representative Examination

Passed May 2012About the Series 7 exam

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CRS (Client Relationship Summary)

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

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