Joseph T. Arsenio

ARSENIO CAPITAL MANAGEMENT LLC

San Anselmo, CA 94960

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CRD#: 7817

Professional summary

Joseph Thomas Arsenio II is a registered financial advisor currently at ARSENIO CAPITAL MANAGEMENT LLC located in San Anselmo, California.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1969. Joseph has worked at 10 firms and has passed the Series 63, Series 15, Series 5, Series 7, Series 1, F04 and Series 00 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Arsenio Capital Management,LLC Not investment related. Address: 1623 5th Ave. Ste A, San Rafael, CA. 94901 Business of project management for Sonoma fire clean-up. Title: Project Manager. Hours vary but average less than 20 hours per month. Fewer than 1 hour may be devoted to project management during securities trading hours. Duties include on site management and interaction with County regulators.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Thomas Arsenio II's 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

January 23, 2019 - Present

ARSENIO CAPITAL MANAGEMENT LLC

Office #1: 75 Estates Dr. 75, San Anselmo, CA 94960

RIA

CRD#: 135923

San Anselmo, CA

Past

February 16, 2018 - December 31, 2018

ARSENIO CAPITAL MANAGEMENT LLC

RIA

CRD#: 135923

SAN RAFAEL, CA

Past

June 24, 2004 - December 31, 2017

ARSENIO CAPITAL MANAGEMENT LLC

RIA

CRD#: 135923

LARKSPUR, CA

Past

May 1, 2001 - April 18, 2002

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

Past

February 5, 2001 - May 1, 2001

JPMSI

CRD#: 15733

NEW YORK, NY

Past

February 1, 2000 - February 5, 2001

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

Past

November 14, 1989 - February 1, 2000

HAMBRECHT & QUIST LLC

CRD#: 940

SAN FRANCISCO, CA

Past

February 28, 1989 - September 12, 1989

HENRY F. SWIFT & CO.

CRD#: 3548

SAN FRANCISCO, CA

Past

August 12, 1988 - December 21, 1988

BIRR WILSON, INC.

CRD#: 12997

Past

February 19, 1986 - August 17, 1988

BWS, INC.

CRD#: 17569

Past

February 1, 1977 - November 14, 1988

BIRR, WILSON & CO., INC.

CRD#: 93

SAN FRANCISCO, CA

Past

September 10, 1973 - August 19, 1977

STARR & KUEHL, INC.

CRD#: 3486

Past

September 10, 1969 - October 24, 1973

C. A. BOTZUM & CO.

CRD#: 123

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(1/23/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 9/18/1979

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 15

Date: 6/6/1984

Foreign Currency Options Examination

General Industry/Product Exam

Series 5

Date: 10/9/1981

Interest Rate Options Examination

General Industry/Product Exam

Series 7

Date: 4/16/1977

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 9/4/1969

Registered Representative Examination

Principal/Supervisory Exam

F04

Date: 6/6/1974

Financial Principal Examination

Principal/Supervisory Exam

Series 00

Date: 4/2/1973

General Securities Principal Examination

Current Firm

ARSENIO CAPITAL MANAGEMENT LLC

CRD#: 135923 / SEC#:

California

Registered Investment Advisory firm - (1/23/2019 Approved)

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Contact information

Main Address

75 Estates Dr. 75, San Anselmo, CA 94960

Mailing Address

Phone number

(415) 461-4350

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

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Advisor Monitoring

Firm Stability Insights

Joseph T. Arsenio

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Thomas Arsenio II's CRS (Customer Relationship Summary).

Certified licenses

Experience

ARSENIO CAPITAL MANAGEMENT LLC

ARSENIO CAPITAL MANAGEMENT LLC

J.P. MORGAN SECURITIES INC.

JPMSI

J.P. MORGAN SECURITIES INC.

HAMBRECHT & QUIST LLC

HENRY F. SWIFT & CO.

BIRR WILSON, INC.

BWS, INC.

BIRR, WILSON & CO., INC.

STARR & KUEHL, INC.

C. A. BOTZUM & CO.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/18/1979

Series 15

Date: 6/6/1984

Series 5

Date: 10/9/1981

Series 7

Date: 4/16/1977

Series 1

Date: 9/4/1969

F04

Date: 6/6/1974

Series 00

Date: 4/2/1973

Current Firm

ARSENIO CAPITAL MANAGEMENT LLC

Contact information

Documents

Red Flags

Company Information

ARSENIO CAPITAL MANAGEMENT LLC

TRUST BUT VERIFY

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