Arthur G. Merriman
Professional summary
Arthur Gates Merriman III, who also goes by Arthur Gates III Merriman, is a registered financial advisor currently at CARNEGIE INVESTMENT COUNSEL located in Pepper Pike, Ohio.
Arthur is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. Arthur has worked at 6 firms and has passed the Series 65, Series 63, Series 3, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Arthur Gates Merriman III's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 2, 2015 - Present
CARNEGIE INVESTMENT COUNSEL
Office #1: 30300 Chagrin Boulevard, Pepper Pike, OH 44124November 5, 2010 - July 8, 2014
MAI CAPITAL MANAGEMENT, LLC
March 21, 2003 - September 24, 2010
STIFEL INDEPENDENT ADVISORS, LLC
March 21, 2003 - September 24, 2010
STIFEL INDEPENDENT ADVISORS, LLC
July 30, 2002 - March 24, 2003
STIFEL, NICOLAUS & COMPANY, INCORPORATED
November 11, 1994 - March 24, 2003
STIFEL, NICOLAUS & COMPANY, INCORPORATED
February 2, 1990 - November 28, 1994
PRUDENTIAL EQUITY GROUP, LLC
September 24, 1982 - February 15, 1990
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
CARNEGIE INVESTMENT COUNSEL
CRD#: 150488 / SEC#: 801-70242
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(1/2/2015)
Exams
Series 8
Date: 3/15/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CARNEGIE INVESTMENT COUNSEL
CRD#: 150488 / SEC#: 801-70242
Contact information
SEC notice filing (36 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 8,127 |
| AUM (Assets Under Management) | $ 6,520,130,588 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 07/13/2023 | ||
| 02/08/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
