Individual Firm
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ANTHONY FRANKLIN ARTERO
CRD#: 4401581
IA
B
GOOD LIFE ADVISORS, LLCCRD#: 171898 11545 West Bernardo Court
Suite 203
San Diego, CA 92127
Suite 203
San Diego, CA 92127
LPL FINANCIAL LLCCRD#: 6413 11440 W. BERNARDO CT, STE159
SAN DIEGO, CA 92127
SAN DIEGO, CA 92127
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11/21/2012
Customer Dispute
Withdrawn
3/5/2009
Customer Dispute
Closed-No Action
10/28/2008
Customer Dispute
Settled
State Registrations
B
Arizona 1/31/2024
B
North Carolina 6/9/2016
B
California 6/9/2016
B
Oregon 6/9/2016
IA
California 6/10/2016
B
Pennsylvania 6/9/2016
B
Connecticut 6/13/2016
B
South Dakota 2/12/2021
B
Florida 6/9/2016
IA
Texas 1/8/2021
B
New Jersey 6/9/2016
B
Virginia 6/9/2016
B
New York 6/9/2016
B
Washington 6/9/2016
SRO Registrations
B
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Learn about permitted activities of registered representatives
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IA
Registered with this firm since 6/10/2016
B
Registered with this firm since 6/9/2016
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/02/2012 - 06/15/2016 | SAN DIEGO, CA | |
B | 11/09/2007 - 06/14/2016 | SAN DIEGO, CA | |
IA | 08/03/2011 - 07/02/2012 | SAN DIEGO, CA | |
IA | 04/15/2010 - 07/28/2011 | SAN DIEGO, CA | |
IA | 08/20/2007 - 11/10/2010 | SAN DIEGO, CA | |
B | 07/11/2007 - 11/15/2007 | SAN DIEGO, CA | |
IA | 07/13/2007 - 08/21/2007 | SAN DIEGO, CA | |
IA | 09/09/2003 - 07/12/2007 | SAN DIEGO, CA | |
B | 12/16/2002 - 07/12/2007 | SAN DIEGO, CA | |
B | 04/02/2002 - 12/20/2002 | ST. PETERSBURG, FL | |
B | 07/11/2001 - 04/10/2002 | OAKDALE, MN | |
B | 01/03/2002 - 01/28/2002 | ORANGE, CA |
SAN DIEGO, CA
08/20/2007 - 11/10/2010
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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.