Arthur Wharton is a registered investment advisor, based in Huntsville, TX, with 33 years of industry experience.
Location
1300 11th St, Ste 430, Huntsville, TX, 77340
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Arthur is affiliated with Wharton Insurance Investments Network, Inc DBA Wharton Insurance Network, and will conduct insurance business through Cetera, except for health and property & casualty insurance.
Employment History
Current Registrations
Cetera Investment Advisers LLC
February 2020 - Present · 6 yrs 3 mos
Cetera Investment Services LLCBroker
February 2020 - Present · 6 yrs 3 mos
Previous Registrations
Royal Alliance Associates, INC.
November 2018 - December 2019 · 1 yr 1 mo
Royal Alliance Associates, INC.Broker
November 2018 - December 2019 · 1 yr 1 mo
Signator Investors, INC.
June 2017 - November 2018 · 1 yr 5 mos
Signator Investors, INC.Broker
December 2015 - November 2018 · 2 yrs 11 mos
Signator Financial Services, INC.Broker
December 2002 - December 2015 · 13 yrs
Sigma Financial CorporationBroker
February 2002 - March 2002 · 1 mo
Sammons Securities Company, LLCBroker
February 2002 - December 2002 · 10 mos
Walnut Street Securities, INC.Broker
February 1998 - February 2002 · 4 yrs
Nylife Securities INC.Broker
November 1992 - January 1998 · 5 yrs 2 mos
State Registrations2 states
LATX
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.