Individual Firm
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ARTHUR BURING
CRD#: 1198287
IA
B
STEPHENSCRD#: 3496 6075 POPLAR AVENUE
CRESCENT CENTER
MEMPHIS, TN 38119
CRESCENT CENTER
MEMPHIS, TN 38119
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1/24/2012
Customer Dispute
Settled
3/5/1998
Customer Dispute
Settled
State Registrations
B
Alabama 1/23/2012
B
Nevada 3/17/2015
B
Arizona 2/10/2012
B
New Hampshire 7/21/2015
B
Arkansas 1/23/2012
B
New Jersey 1/23/2012
B
California 1/23/2012
B
New Mexico 1/23/2012
B
Colorado 2/27/2015
B
New York 1/23/2012
B
Connecticut 8/23/2016
B
North Carolina 1/23/2012
B
District of Columbia 1/23/2012
B
Ohio 10/24/2018
B
Florida 1/23/2012
B
Oklahoma 1/23/2012
B
Georgia 1/23/2012
B
Oregon 1/4/2017
B
Illinois 1/23/2012
B
Pennsylvania 1/23/2012
B
Indiana 11/28/2017
B
South Carolina 1/23/2012
B
Iowa 1/23/2012
B
Tennessee 1/23/2012
B
Kentucky 1/23/2012
IA
Tennessee 1/23/2012
B
Louisiana 1/24/2012
B
Texas 1/23/2012
B
Maryland 1/23/2012
IA
Texas 10/30/2013
B
Massachusetts 1/23/2012
B
Virginia 1/23/2012
B
Mississippi 1/23/2012
B
Washington 1/5/2017
B
Missouri 1/23/2012
B
Wisconsin 2/25/2019
SRO Registrations
B
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 1/23/2012
B
Registered with this firm since 1/23/2012
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/01/2009 - 02/06/2012 | MEMPHIS, TN | |
B | 06/01/2009 - 02/06/2012 | MEMPHIS, TN | |
IA | 04/02/2007 - 06/01/2009 | MEMPHIS, TN | |
B | 04/02/2007 - 06/01/2009 | MEMPHIS, TN | |
IA | 01/22/2004 - 04/02/2007 | MEMPHIS, TN | |
B | 10/27/2000 - 04/02/2007 | MEMPHIS, TN | |
B | 11/22/1983 - 10/31/2000 | MEMPHIS, TN |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.