Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Arthur? Claim Your ProfileArthur Seals is a financial professional with over 20 years of experience in the financial services industry. Arthur is currently registered with Wells Fargo Clearing Services, LLC and has previously held positions with several other firms, including Global Alternative Investment Services, Inc., Wells Fargo Advisors, LLC, Forethought Distributors, LLC, Lowell & Company, Inc., Riversource Distributors, Inc., Lightstone Securities, LLC, Pacific Cornerstone Capital Incorporated, Ameriprise Financial Services, Inc., Nationwide Investment Services Corporation, OppenheimerFunds Distributor, Inc., First Union Brokerage Services, Inc., Bank United Securities Corp., Dean Witter Reynolds Inc., and Lew Lieberbaum & Co., Inc.. Arthur is a Series 7, Series 9, Series 10, Series 24, Series 31, Series 62, Series 63, and Series 65 licensed professional. Arthur is committed to providing clients with personalized financial advice and investment solutions.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
MO
05/13/2021 - Present
Wells Fargo Clearing Services, LLC (ST. LOUIS MO)
NC
02/05/2016 - 06/29/2020
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC. (CHARLOTTE NC)
TX
05/07/2014 - 01/08/2016
WELLS FARGO ADVISORS, LLC (TYLER TX)
CT
04/05/2013 - 02/24/2014
FORETHOUGHT DISTRIBUTORS, LLC (HARTFORD CT)
TX
07/10/2012 - 03/11/2013
LOWELL & COMPANY, INC. (LUBBOCK TX)
MN
05/14/2010 - 06/20/2012
RIVERSOURCE DISTRIBUTORS, INC. (MINNEAPOLIS MN)
NJ
09/02/2009 - 02/08/2010
LIGHTSTONE SECURITIES, LLC (MAHWAH NJ)
CA
05/02/2007 - 08/21/2009
PACIFIC CORNERSTONE CAPITAL INCORPORATED (SANTA ANA CA)
MN
01/01/2007 - 05/07/2007
RIVERSOURCE DISTRIBUTORS, INC. (MINNEAPOLIS MN)
MN
05/22/2006 - 01/01/2007
AMERIPRISE FINANCIAL SERVICES, INC. (MINNEAPOLIS MN)
OH
10/22/2002 - 02/23/2006
NATIONWIDE INVESTMENT SERVICES CORPORATION (COLUMBUS OH)
NY
07/07/1999 - 06/25/2002
OPPENHEIMERFUNDS DISTRIBUTOR, INC. (NEW YORK NY)
NC
09/02/1998 - 04/20/1999
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
TX
11/12/1997 - 08/20/1998
BANK UNITED SECURITIES CORP. (HOUSTON TX)
NY
06/28/1996 - 11/13/1997
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NY
02/13/1996 - 07/10/1996
LEW LIEBERBAUM & CO., INC. (GARDEN CITY NY)
IA
Issued 07/03/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/11/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/04/2015
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 07/27/2015
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/11/2007
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/09/1996
Series 31 - Futures Managed Funds Examination
BC
Issued 05/01/1996
Series 7 - General Securities Representative Examination
BC
Issued 02/12/1996
Series 62 - Corporate Securities Limited Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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