Richard O. Arneson
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.
Richard Owen Arneson, who also goes by Dick Arneson, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1965. Richard had worked at 7 firms and has passed the Series 63 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 29, 1994 - April 6, 1995
RAUSCHER PIERCE REFSNES, INC.
July 20, 1992 - December 31, 1992
SWBC INVESTMENT COMPANY
January 24, 1985 - August 17, 1990
KERCHEVILLE & COMPANY, INC.
November 8, 1984 - January 1, 1985
PERSHING LLC
September 27, 1976 - September 14, 1984
RAUSCHER PIERCE REFSNES, INC.
August 22, 1973 - September 25, 1976
LOEB RHOADES INC
February 1, 1971 - November 5, 1973
DOMIK CORP.
October 1, 1965 - May 10, 1971
DITTMAR & COMPANY, 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
RAUSCHER PIERCE REFSNES, INC.
CRD#: 6663 / SEC#: , 8-27271
Contact information
Documents
Red Flags
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