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AS

Arnold A. Scharf

SAN BLAS SECURITIES LLC
CHICAGO, IL 60606
Some features on this profile are disabled
CRD#: 732127
AS

Professional summary

Arnold Asher Scharf, who also goes by Arnold A Scharf, is a registered financial professional currently at SAN BLAS SECURITIES LLC located in Chicago, Illinois.

Arnold is registered as a RR (Registered Representative) and started their career in finance in 1981. Arnold has worked at 11 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Arnold A Scharf

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) - BD

Click below to view Arnold Asher Scharf's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

June 4, 2021 - Present

SAN BLAS SECURITIES LLC

Office #1: 233 S Wacker Dr Suite 4400, Chicago, IL 60606
BD
CRD#: 290605
CHICAGO, IL
Past

November 3, 2010 - May 26, 2021

CANTELLA & CO., INC.

BD
CRD#: 13905
Nanuet, NY
Past

September 12, 2003 - October 4, 2010

NORTHEAST SECURITIES, LLC

BD
CRD#: 25996
MONSEY, NY
Past

July 30, 2002 - July 18, 2003

THE KEY GROUP INC.

BD
CRD#: 42373
RAMSEY, NJ
Past

February 11, 2002 - June 14, 2002

A. G. EDWARDS & SONS, INC.

RIA
CRD#: 4
SHERMAN OAKS, CA
Past

January 25, 2002 - June 14, 2002

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
ST. LOUIS, MO
Past

February 22, 1999 - January 30, 2002

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

November 11, 1992 - March 4, 1999

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

September 15, 1989 - November 10, 1992

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

February 5, 1987 - September 15, 1989

THOMSON MCKINNON SECURITIES INC.

BD
CRD#: 829
NEW YORK, NY
Past

October 19, 1983 - February 13, 1987

MORGAN STANLEY DW INC.

BD
CRD#: 7556
Past

July 26, 1983 - October 4, 1983

BLINDER, ROBINSON & CO., INC.

BD
CRD#: 5096
Past

June 12, 1981 - March 9, 1984

FORESTERS FINANCIAL SERVICES, INC.

BD
CRD#: 305

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Colorado
(6/4/2021)
RR
Florida
(7/6/2021)
RR
Maryland
(6/4/2021)
RR
New Jersey
(6/4/2021)
RR
New York
(6/4/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 4/26/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/16/1983
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 6/10/1981
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SB
SAN BLAS SECURITIES LLC
IFS CAPITAL MARKETS, LLC | SAN BLAS SECURITIES LLC

CRD#: 290605 / SEC#: , 8-70036

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

Main Address
233 S Wacker Dr Suite 4400, Chicago, IL 60606
Mailing Address
3424 Peachtree Rd. Ne Suite 2200, Atlanta, GA 30326-1184
Phone number
(773) 661-4448
Established
Delaware since 04/13/2017
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (53 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#
IFS GROUP, INCDIRECT OWNER
CADENA, JOHNCCO712192
CARTER, ANA ROUMENOVAFINOP4424794
MCKENZIE, ALEXYS ULANDOCEO2642827

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

SAN BLAS SECURITIES LLC

CRD#: 290605Chicago, IL 60606

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