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Arnold Miles Blum

CRD# 803229·Registered 1981 - 2007
Previously Registered: Being a previously registered professional could mean that Arnold 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.

Professional Summary

Arnold Miles Blum, who also goes by Arnie Blum, was a registered financial advisor. Arnold was a previously registered financial professional and started their career in finance 1981 - 2007. Arnold had worked at 4 firms and has passed the Series 63, Series 7, Series 6 and Series 1 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Arnie Blum

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

51 years in the financial services industry

Current & Past Employments

SUMMIT FINANCIAL ADVISORS CORPORATION·CRD# 113335
RIA
Boulder, CO
January 1, 1999 - December 18, 2007
WALNUT STREET SECURITIES, INC.·CRD# 15840
BD
Denver, CO
March 22, 1996 - October 4, 2012
OSAIC FS, INC.·CRD# 3870
BD
Fort Wayne, IN
January 25, 1989 - April 9, 1996
JOHN HANCOCK DISTRIBUTORS LLC·CRD# 5249
BD
Boston, MA
March 2, 1981 - January 30, 1989

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Current Firm

No current employment

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Apr 1984About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Feb 1984About the Series 7 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Feb 1981About the Series 6 exam

Series 1 — Registered Representative Examination

Passed Dec 1974

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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