Arthur Faraldi
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Arthur Faraldi, who also goes by Arthur E Faraldi, was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 1974. Arthur had worked at 7 firms and has passed the Series 63, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 5, 2005 - December 31, 2020
PROFESSIONAL INVESTMENT MANAGEMENT, L.L.C
October 2, 1989 - December 31, 1993
CADARET, GRANT & CO., INC.
July 1, 1987 - October 2, 1989
CADARET, GRANT & CO., INC.
April 18, 1984 - July 2, 1987
FSC SECURITIES CORPORATION
September 3, 1982 - May 9, 1984
CADARET, GRANT & CO., INC.
August 17, 1982 - October 13, 1982
CARDELL & ASSOCIATES, INCORPORATED
May 5, 1981 - December 8, 1982
INDEPENDENT FINANCIAL PLANNERS CORPORATION
April 16, 1974 - January 4, 1985
METROPOLITAN LIFE INSURANCE COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 4/11/1974
Registered Representative ExaminationCurrent Firm
PROFESSIONAL INVESTMENT MANAGEMENT, L.L.C
CRD#: 124628 / SEC#:
Contact information
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.
