Arnold M. Schimsky
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.
Arnold Martin Schimsky was a registered financial professional .
Arnold is a previously registered financial professional and started their career in finance in 1976. Arnold had worked at 4 firms and has passed the Series 63, SIE, Series 2, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 28, 2009 - December 31, 2016
CROWN CAPITAL SECURITIES, L.P.
May 27, 2009 - December 31, 2016
CROWN CAPITAL SECURITIES, L.P.
January 14, 2002 - June 5, 2009
MUTUAL SERVICE CORPORATION
March 31, 1999 - June 5, 2009
MUTUAL SERVICE CORPORATION
June 25, 1980 - March 31, 1999
TITAN/VALUE EQUITIES GROUP, INC.
October 14, 1976 - September 7, 1978
LPL FINANCIAL LLC
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 2
Date: 9/27/1971
Non-Member General Securities ExaminationCurrent Firm
CROWN CAPITAL SECURITIES, L.P.
CRD#: 6312 / SEC#: 801-57663, 8-17264
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DELTA CAPITAL HOLDINGS, LLC | GENERAL PARTNER | |
| DELTA BROKER HOLDING, LLC | LIMITED PARTNER | |
| EDWARDS, DON MICHAEL | CFO/FINOP/CONTROLLER | 2669488 |
| FRENCH, JONATHAN LEE | PRESIDENT/ MUNICIPAL PRINCIPAL/CROP/CMO/CCO/COO/INV. ADV.SERV. | 3155702 |
| PAULSEN, DAROL KENNETH | CEO/DIR./TREASURER/SROP | 358292 |
| PAULSEN, PHYLLIS JEAN | SR. VP/DIR/CAO DIR./LIC & REG/SEC | 1512757 |
Regulatory assets under management
| Total Number of Accounts | 5,654 |
| AUM (Assets Under Management) | $ 1,223,108,240 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 3 |
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.
