Suzanne Arnhart
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.
Suzanne Arnhart, who also goes by Suzy Arnhart, was a registered financial professional .
Suzanne is a previously registered financial professional and started their career in finance in 1981. Suzanne had worked at 8 firms and has passed the Series 63, Series 5 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 12, 2004 - October 29, 2012
WHITEHALL-PARKER SECURITIES, INC.
June 1, 2004 - June 3, 2004
BROOKSTREET SECURITIES CORPORATION
November 5, 1999 - June 3, 2004
FIRST SECURITIES USA, INC.
January 22, 1993 - November 5, 1999
FIRST ASSOCIATED SECURITIES GROUP, INC.
February 7, 1992 - March 31, 1993
FSC SECURITIES CORPORATION
July 28, 1987 - February 7, 1992
BRITSON INVESTMENTS, INC.
August 8, 1983 - August 12, 1987
MORGAN STANLEY DW INC.
June 22, 1981 - May 18, 1983
J.P. MORGAN SECURITIES LLC
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
Series 5
Date: 10/9/1981
Interest Rate Options ExaminationCurrent Firm
WHITEHALL-PARKER SECURITIES, INC.
CRD#: 10608 / SEC#: , 8-27688
Contact information
FINRA licenses (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25 |
| AUM (Assets Under Management) | $ 20,000,000 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
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.
