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ARTHUR SINKLER
ARTHUR B SINKLER, ARTHUR BROCK SINKLER III, ARTHUR BROCK SINKLER, ARTHUR BROCK SPINKLER III
CRD#: 2083672
IA
Investment Adviser
B
Broker Regulated by FINRA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLCCRD#: 11025 3424 PEACHTREE RD
STE 775
ATLANTA, GA 30326
+1
Registration History
199019952000200520102015202020252 FIRMS2007 - 2012 (5 years)2 FIRMS2012 - 2023 (10 years)2 FIRMS2023 - Present (1 year)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2002 - 2007 (4 years)BCMG INSTITUTIONAL TRADING LLC (CRD# 47264)1999 - 2003 (3 years)BTHE MALACHI GROUP, INC. (CRD# 42320)2002 - 2002 (<1 year)BMUNICIPALTRADE.COM, INC. (CRD# 47262)2001 - 2002 (<1 year)BCIBC WORLD MARKETS (CRD# 630)1997 - 1999 (1 year)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1990 - 1997 (7 years)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2003 - 2007 (4 years)
Disclosure(s)
View By:
10/27/2009
Customer Dispute
Settled
License(s)

State Registrations

B
Alabama

B
Missouri

B
California

B
Montana

B
Colorado

B
New York

B
Florida

B
Pennsylvania

B
Georgia

B
South Carolina

IA
Georgia

B
Tennessee

B
Indiana

B
Texas

B
Maryland

IA
Texas

B
Massachusetts

B
Virginia

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
B
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (CRD#:11025)
3424 PEACHTREE RD STE 775, ATLANTA, GA 30326
Registered with this firm since 2/10/2023

IA
WELLS FARGO ADVISORS (CRD#:11025)
3424 PEACHTREE RD STE 775, ATLANTA, GA 30326
Registered with this firm since 2/13/2023

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
09/12/2012 - 02/10/2023 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) MARIETTA, GA
B
09/07/2012 - 02/10/2023 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) MARIETTA, GA
IA
05/14/2007 - 09/18/2012 RBC CAPITAL MARKETS, LLC (CRD#:31194) ATLANTA, GA
B
05/11/2007 - 09/18/2012 RBC CAPITAL MARKETS, LLC (CRD#:31194) ATLANTA, GA
IA
04/17/2003 - 05/25/2007 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) ATLANTA, GA
B
11/15/2002 - 05/25/2007 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) ATLANTA, GA
B
09/17/1999 - 02/14/2003 CMG INSTITUTIONAL TRADING LLC (CRD#:47264)
FINRA expelled the firm on 06/29/2009
CHICAGO, IL
B
02/20/2002 - 05/07/2002 THE MALACHI GROUP, INC. (CRD#:42320)
FINRA expelled the firm on 09/07/2006
ATLANTA, GA
B
10/01/2001 - 01/16/2002 MUNICIPALTRADE.COM, INC. (CRD#:47262) ATLANTA, GA
B
09/19/1997 - 05/25/1999 CIBC WORLD MARKETS (CRD#:630) NEW YORK, NY
B
09/19/1990 - 09/24/1997 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
Additional Information

The content of this summary, and the available detailed report, is governed by FINRA Rule 8312, and is primarily based on information filed on uniform registration forms. Rule 8312, amendments to the rule and notices related to U.S. Securities and Exchange Commission approval orders, can be viewed here.

State regulators are governed by their public records laws (not FINRA Rule 8312), and may provide information not in BrokerCheck, including information no longer required to be reported or updated on uniform registration forms due, for example, to its age or final disposition. You may contact your state regulator to request this additional information.

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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.
It is common for a financial professional to act as both a broker and an investment adviser. Because of this, we include investment advisers on BrokerCheck, and provide links to the SEC's Investment Adviser Public Disclosure (IAPD) website so you can research further.

PR
Previously Registered

A Previously Registered broker or brokerage firm is not currently licensed to act as a broker (buying and selling securities on behalf of customers) or as an investment adviser (providing advice about securities to clients). They may still be able to offer other investment-related services if properly licensed to do so. Click here to learn more.

Disclosures

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.

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