Arthur Day, financial advisor Sarasota FL
83 score

Arthur Day

CRD Number: 1298928
Current Firm: Day Hagan Asset Management

Arthur Day (CRD# 1298928) is an Investment Advisor Representative working at Day Hagan Asset Management in Sarasota, FL and has over 32 years of experience in the finance industry.

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Company Name Location Dates Years
Day Hagan Asset Management Sarasota, FL Apr 2006 - Current 10
Harbor Financial Services LLC Mobile, AL Apr 2006 - Jan 2007 < 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Sep 1984
S65 NASAA Investment Advisors Law Examination Mar 1992
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Arthur S. Day
Phone Number: 941-330-1702
Firm Website: http://www.dhfunds.com
Registered State(s):
  • CO
  • TX
  • FL
By the Numbers
  • Total Assets Under Management
    257
    MILLIONS
  • Total Number of Accounts
    712
    ACCOUNTS
  • Average Account Value
    $360,995
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for investment companies (as well as "business development companies")
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

CO, CT, FL, GA, MI, MN, OH, TX

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BADGES
83

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