Arthur J. Minton
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 Jerry Minton was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 1977. Arthur had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 28 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 28, 2017 - December 31, 2020
ALPHA INVESTMENT MANAGEMENT
June 27, 2000 - June 9, 2005
ALPHA INVESTMENT MANAGEMENT
March 3, 1992 - March 27, 2015
FOURTH STREET FINANCIAL GROUP, INC.
December 10, 1991 - March 19, 1992
J. D. SEIBERT & COMPANY, INC.
September 4, 1990 - December 7, 1991
WELLS FARGO CLEARING SERVICES, LLC
August 25, 1987 - September 4, 1990
PRESCOTT, BALL & TURBEN, INC.
November 23, 1978 - August 29, 1987
E. F. HUTTON & COMPANY INC
January 26, 1977 - November 5, 1978
BLYTH EASTMAN DILLON & CO. 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
Series 28
Date: 6/19/1992
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
ALPHA INVESTMENT MANAGEMENT
CRD#: 107578 / SEC#: 801-53966
Contact information
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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