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Steven W. Arnold

Some features on this profile are disabled
CRD#: 710802
SA

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.

Steven William Arnold was a registered financial professional .

Steven is a previously registered financial professional and started their career in finance in 1980. Steven had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 27 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

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 9, 2000 - February 7, 2017

CAPITAL RESEARCH BROKERAGE SERVICES, LLC

BD
CRD#: 40823
PASADENA, CA
Past

September 19, 1997 - April 3, 2000

NORTHEAST SECURITIES, LLC

BD
CRD#: 25996
MITCHELFIELD, NY
Past

April 7, 1995 - March 9, 1998

ASCHER/DECISION SERVICES, INC.

BD
CRD#: 10034
SAN MARINO, CA
Past

September 15, 1993 - December 6, 1993

NORTHEAST SECURITIES, LLC

BD
CRD#: 25996
MITCHELFIELD, NY
Past

June 18, 1990 - November 15, 1991

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

May 23, 1989 - June 19, 1990

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

July 1, 1985 - June 3, 1989

BATEMAN EICHLER, HILL RICHARDS, INCORPORATED

BD
CRD#: 76
Past

April 6, 1984 - June 28, 1985

BOETTCHER & COMPANY, INC.

BD
CRD#: 101
Past

September 21, 1982 - April 2, 1984

PHILLIPS CAPITAL

BD
CRD#: 3603
Past

January 20, 1982 - September 2, 1982

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
Past

July 1, 1980 - January 26, 1982

BOETTCHER & COMPANY, INC.

BD
CRD#: 101

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
RR
IAR
Series 66
Date: 8/24/2004
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 9/16/1980
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 2/7/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/21/1980
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 8/8/2000
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 4/13/2000
Investment Company Products/Variable Contracts Principal Examination

Current Firm

CR
CAPITAL RESEARCH BROKERAGE SERVICES, LLC
CAPITAL RESEARCH BROKERAGE SERVICES, LLC | THE OAKWOOD GROUP, LLC | THE OAKWOOD GROUP OF MICHIGAN, LLC

CRD#: 40823 / SEC#: , 8-49213

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
15 S. Raymond Avenue Suite 200, Pasadena, CA 91105
Mailing Address
15 S. Raymond Avenue Suite 200, Pasadena, CA 91105
Phone number
(626) 844-1440
Established
North Carolina since 02/14/1996
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ODELL, JOHN PATRICKMANAGING MEMBER/CHIEF COMPLIANCE OFFICER1908737

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.

Company Information

CAPITAL RESEARCH BROKERAGE SERVICES, LLC

CRD#: 40823

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