Patrick H. Arbor
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.
Patrick Henry Arbor was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1973. Patrick had worked at 7 firms and has passed the F04 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 23, 2012 - November 25, 2013
LIVEVOL SECURITIES, INC.
May 7, 2007 - September 25, 2008
MATLOCK CAPITAL, LLC
April 4, 2000 - December 31, 2005
TRITAURIAN CAPITAL, INCORPORATED
June 9, 1988 - October 9, 1990
LIT AMERICA, INC.
November 7, 1985 - June 6, 1997
SHATKIN FINANCIAL SERVICES, INC.
July 18, 1985 - June 9, 1988
RIALCOR/SHATKIN SECURITIES CORP.
May 21, 1973 - March 27, 1986
NASH, WEISS & CO.
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
F04
Date: 4/25/1975
Financial Principal ExaminationSeries 00
Date: 3/19/1975
General Securities Principal ExaminationCurrent Firm
LIVEVOL SECURITIES, INC.
CRD#: 23670 / SEC#: , 8-40623
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LIVEVOL, INC. | OWNER | |
| ALVIRA, LUIS | MANAGING DIRECTOR, CCO | 2714996 |
Disclosures
| Regulatory Event | 3 |
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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