Alan C. Arnold
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.
Alan Courtenay Arnold, who also goes by Alan Courteney Arnold, Alan Courtney Arnold, Alan Coutenay Arnold, was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1967. Alan had worked at 2 firms and has passed the Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 30, 1987 - November 22, 1988
HOWARD WEIL RETIREMENT SECURITY CORPORATION
May 16, 1967 - July 10, 1990
HOWARD, WEIL, LABOUISSE, FRIEDRICHS 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
Series 1
Date: 5/13/1967
Registered Representative ExaminationSeries 00
Date: 5/8/1971
General Securities Principal ExaminationCurrent Firm
HOWARD WEIL RETIREMENT SECURITY CORPORATION
CRD#: 19496 / SEC#: , 8-37557
Contact information
Documents
Red Flags
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