Josephine Arcano

Some features on this profile are disabled

CRD#: 6846

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.

Josephine Arcano, who also goes by Josephine Caroline Arcano, was a registered financial professional .

Josephine is a previously registered financial professional and started their career in finance in 1970. Josephine had worked at 3 firms and has passed the Series 63, Series 7, Series 1, Series 4, Series 40 and Series 00 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Josephine Caroline Arcano

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.

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

March 31, 1987 - June 22, 1990

RUTLAND SECURITIES L.P.

CRD#: 18972

Past

November 1, 1978 - August 26, 1986

BROADCHILD SECURITIES CORP.

CRD#: 7702

Past

October 15, 1970 - April 5, 1973

FES RESEARCH & MANAGEMENT, INC

CRD#: 5390

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 8/2/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/21/1978

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 5/1/1967

Registered Representative Examination

Principal/Supervisory Exam

Series 4

Date: 6/8/1987

Registered Options Principal Examination

Principal/Supervisory Exam

Series 40

Date: 10/9/1978

Registered Principal Examination

Principal/Supervisory Exam

Series 00

Date: 9/21/1970

General Securities Principal Examination

Current Firm

RUTLAND SECURITIES L.P.

CRD#: 18972 / SEC#: , 8-37095

Expelled by FINRA on 05/30/1991

Upgrade to AdvisorCheck Premium

Firm MonitoringMonitor not just your advisor but also their firm.

More Frequent AlertsGet updates every two weeks instead of monthly.

Contact information

Main Address

Mailing Address

Phone number

Established

Delaware since 12/11/1986

Firm type

Partnership

Fiscal year end

December

# of Employees

Documents

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.