Arnold Owen
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 Owen was a registered financial professional .
Arnold is a previously registered financial professional and started their career in finance in 1976. Arnold had worked at 10 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 4 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
June 22, 2011 - October 3, 2019
ASCENDIANT CAPITAL MARKETS, LLC
January 11, 2008 - June 16, 2011
THOMASLLOYD CAPITAL LLC
March 28, 2007 - January 7, 2008
CANACCORD GENUITY SECURITIES LLC
May 14, 2003 - March 20, 2007
MERRIMAN CAPITAL, INC.
June 25, 1997 - May 15, 2003
ROTH CAPITAL PARTNERS, LLC
May 13, 1996 - July 9, 1997
KAUFMAN BROS., L.P.
February 20, 1991 - April 12, 1996
SOUNDVIEW TECHNOLOGY CORPORATION
November 2, 1979 - March 8, 1991
SALOMON BROTHERS INC.
September 16, 1977 - November 1, 1979
PRUDENTIAL EQUITY GROUP, LLC
December 1, 1976 - September 16, 1977
SHIELDS MODEL ROLAND INCORPORATED
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
Current Firm
ASCENDIANT CAPITAL MARKETS, LLC
CRD#: 152912 / SEC#: , 8-68487
Contact information
FINRA licenses (29 States and Territories)
Disclosures
| Regulatory Event | 10 |
Red Flags
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