Arthur J. Eisen
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.
Arthur Joseph Eisen was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 1994. Arthur had worked at 4 firms and has passed the Series 63, Series 7, Series 6, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 26, 2005 - December 31, 2023
EISEN FINANCIAL SERVICES, INC.
September 26, 2001 - August 1, 2007
TRUSTMONT FINANCIAL GROUP, INC.
February 12, 1996 - September 28, 2001
CETERA ADVISORS LLC
September 8, 1994 - March 4, 1996
MONY SECURITIES CORPORATION
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: 10/6/1975
Registered Representative ExaminationCurrent Firm
EISEN FINANCIAL SERVICES, INC.
CRD#: 125668 / SEC#: 801-79227
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 44 |
| AUM (Assets Under Management) | $ 34,117,955 |
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.
