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AK

Arthur S. Kirsch

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CRD#: 848080
AK

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 Selig Kirsch was a registered financial professional .

Arthur is a previously registered financial professional and started their career in finance in 1978. Arthur had worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer


Are you a "fiduciary"?
No

Aliases


None

Other business activities


Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner


CRS (Client Relationship Summary)


The CRS(Customer Relationship Summary) document is not provided.

Certified licenses


Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience


Past

June 3, 2005 - April 8, 2020

HOULIHAN LOKEY ADVISORS, LLC

BD
CRD#: 127835
NEW YORK, NY
Past

February 11, 2002 - June 1, 2005

THIRD500, LLC

BD
CRD#: 115542
WILMETTE, IL
Past

July 9, 1999 - April 19, 2001

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

December 2, 1994 - December 22, 2000

VECTOR SECURITIES INTERNATIONAL, INC.

BD
CRD#: 22010
NEW YORK, NY
Past

May 29, 1990 - December 22, 1992

NATWEST SECURITIES CORPORATION

BD
CRD#: 18238
NEW YORK, NY
Past

January 18, 1980 - March 20, 1990

DREXEL BURNHAM LAMBERT INCORPORATED

BD
CRD#: 7323
Past

January 27, 1978 - June 26, 1979

ROBERT FLEMING INC.

BD
CRD#: 1711

State Registrations and Notice Filings


Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams


State Security Law Exam
RR
Series 63
Date: 9/18/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam

Current Firm


HL
HOULIHAN LOKEY ADVISORS, LLC
GCA ADVISORS, LLC | SILVER CREEK CAPITAL ADVISORS, LLC | SAVVIAN ADVISORS, LLC | PERSEUS ADVISORS, LLC | HOULIHAN LOKEY ADVISORS, LLC | GCA SAVVIAN ADVISORS, LLC

CRD#: 127835 / SEC#: , 8-66065

BD
Terminated by SEC on 05/28/2024
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Contact information


Main Address
Mailing Address
Phone number
Established
Delaware since 03/19/2003
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Small
# of Employees

Documents


Direct owners and executive officers


NamePositionCRD#
GCA SAVVIAN, INC.PARENT COMPANY
AARON, STEVEN ROSSCHIEF COMPLIANCE OFFICER1298072
BALDWIN, GEOFFREY DUFFCO-CEO1500281
CARTER, TODD JOHNCO-CEO
LAMBROS, JOHN FORTUNEPRESIDENT2368612
TANIGUCHI, EDWARD NEALCHIEF FINANCIAL OFFICER4632869

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.

Company Information


HOULIHAN LOKEY ADVISORS, LLC

CRD#: 127835

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