Arthur J. Schiavo
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.
Arthur Joseph Schiavo, who also goes by Arthur Joseph Schiavo Sr, was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 1981. Arthur had worked at 9 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 15, 2004 - March 17, 2005
LH ROSS & COMPANY, INC.
January 29, 2004 - February 2, 2004
LH ROSS & COMPANY, INC.
March 14, 2002 - November 12, 2003
CARDINAL CAPITAL MANAGEMENT, INC.
March 11, 1996 - December 31, 2001
VALLEY FORGE SECURITIES, INC .
February 2, 1991 - February 20, 1996
FIRST MONTAUK SECURITIES CORP.
March 23, 1990 - January 29, 1991
MUTUAL SECURITIES, INC.
July 16, 1985 - January 2, 1990
WALL STREET WEST, INC.
April 5, 1982 - June 13, 1985
HESS, GRANT & COMPANY, INC.
July 13, 1981 - January 27, 1982
PHILIPS, APPEL & WALDEN, INC.
February 23, 1981 - June 17, 1981
FIRST JERSEY SECURITIES, INC.
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
Current Firm
LH ROSS & COMPANY, INC.
CRD#: 37920 / SEC#: , 8-47990
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LH ROSS HOLDING CORP. | PARENT COMPANY | |
| MICHELIN, FRANKLYN ROSS | PRESIDENT | 2459180 |
Disclosures
| Regulatory Event | 31 |
| Arbitration | 15 |
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.
