Arthur D. Viola
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 Dennis Viola was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 1991. Arthur had worked at 7 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 7, 1997 - October 13, 1999
MERIT CAPITAL ASSOCIATES, INC.
August 16, 1996 - November 26, 1996
VISTA SECURITIES INC.
April 5, 1995 - April 27, 1995
UNITED DANIELS SECURITIES, INC.
July 30, 1993 - March 6, 1995
CHURCHILL SECURITIES, INC.
May 11, 1993 - March 3, 1994
FIRST MADISON SECURITIES, INC.
August 21, 1991 - October 4, 1991
CHATFIELD DEAN & CO., INC.
January 7, 1991 - April 8, 1991
LADENBURG THALMANN & CO. INC.
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
MERIT CAPITAL ASSOCIATES, INC.
CRD#: 30576 / SEC#: , 8-45013
Contact information
Documents
Disclosures
| Regulatory Event | 16 |
| Arbitration | 15 |
Red Flags
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