Arthur G. Brickey
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 Gideon Brickey IV, CFA, who also goes by Art Brickey IV, Arthur Gideon Brickey Iv, was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 1993. Arthur had worked at 5 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO, SIE, Series 50, Series 7, Series 6, Series 53 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 25, 2021 - May 2, 2023
KNIGHTS OF COLUMBUS ASSET ADVISORS LLC
August 20, 2018 - February 2, 2021
EDWARD JONES
August 13, 2018 - February 2, 2021
EDWARD JONES
March 7, 2003 - August 31, 2005
FIRST SOUTHWEST COMPANY, LLC
March 17, 2000 - October 6, 2017
FRIEDMAN, LUZZATTO & CO.
July 9, 1993 - December 12, 1997
FIDELITY DISTRIBUTORS CORPORATION
Primary Firm SEC Registration
KNIGHTS OF COLUMBUS ASSET ADVISORS LLC
CRD#: 174129 / SEC#: 801-80844
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 7TO
Date: 3/20/2024
General Securities Representative ExaminationSeries 6TO
Date: 3/20/2024
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
KNIGHTS OF COLUMBUS ASSET ADVISORS LLC
CRD#: 174129 / SEC#: 801-80844
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,592 |
| AUM (Assets Under Management) | $ 28,035,873,347 |
Red Flags
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