Gene E. 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.
Gene Edward Arnold, who also goes by Eugene Edward Arnold, was a registered financial professional .
Gene is a previously registered financial professional and started their career in finance in 2015. Gene had worked at 2 firms and has passed the Series 65 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2018 - December 31, 2020
MARINER WEALTH
November 10, 2015 - October 24, 2017
AVANTAX PLANNING PARTNERS, INC.
Primary Firm SEC Registration
MARINER WEALTH
CRD#: 289886 / SEC#: 801-111823
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Current Firm
MARINER WEALTH
CRD#: 289886 / SEC#: 801-111823
Contact information
SEC notice filing (21 States and Territories)
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.
