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Thomas Howard Arthur

A.G.P. / Alliance Global Partners

Newport Beach, CA

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Current Employers
A.G.P. / Alliance Global Partners

88 Post Road West 2Nd Floor, Westport, CT 06880 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2024-12-02
FL RA APPROVED 2024-09-06
NY RA APPROVED 2024-09-05
NC RA APPROVED 2024-09-05
TX RA APPROVED_RES 2010-10-08
CA RA APPROVED 2010-04-05
  • IL RA
    APPROVED
    Since 2024-12-02
  • FL RA
    APPROVED
    Since 2024-09-06
  • NY RA
    APPROVED
    Since 2024-09-05
  • NC RA
    APPROVED
    Since 2024-09-05
  • TX RA
    APPROVED_RES
    Since 2010-10-08
  • CA RA
    APPROVED
    Since 2010-04-05

Branch Locations

1201 Dove Street Suite 200, Newport Beach, CA 92660 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Euro Pacific Capital Inc. Newport Beach CA 03/2010 Present
  • 03/2010 → Present
    Euro Pacific Capital Inc.
    Newport Beach, CA
Previous Registrations
  • 2010-01-11 → 2010-03-04
    Chase Investment Services Corp.
    Seal Beach, CA
  • 2009-04-14 → 2009-12-15
    U.S. Bancorp Investments, Inc.
    Fountain Valley, CA
    Huntington Beach, CA
    Fountain Valley, CA
    Garden Grove, CA
    Fountain Valley, CA
    Huntington Beach, CA
  • 2007-02-01 → 2009-03-23
    Wells Fargo Clearing Services, Llc
    San Leandro, CA
    Irvine, CA
    Desert Hot Springs, CA
    Long Beach, CA
Other Businesses

Own a rental home in Scottsdale, AZ - 6625 E. First Ave.; devote less than 1 hour per month managing the property.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-12-12
S63 Uniform Securities Agent State Law Examination 1995-03-31
  • S65 Uniform Investment Adviser Law Examination
    2006-12-12
  • S63 Uniform Securities Agent State Law Examination
    1995-03-31
Other Names
  • Tom Howard Arthur

View on SEC IAPD

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OKAPI CAPITAL, LLC · NEWPORT BEACH, CA
OCVC, LLC · NEWPORT BEACH, CA
MIG CAPITAL, LLC · NEWPORT BEACH, CA
RESEARCH AFFILIATES · NEWPORT BEACH, CA
PAAMCO PRISMA, LLC · NEWPORT BEACH, CA
COMPOSITION WEALTH, LLC · Newport Beach, CA
J.P. MORGAN SECURITIES LLC · NEWPORT BEACH, CA
AMERIPRISE FINANCIAL SERVICES, LLC · Newport Beach, CA

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