Arthur R. Sarzen
Professional summary
Arthur Richard Sarzen JR, who also goes by Arthur Sarzen Jr, is a registered financial professional currently at KEEFE, BRUYETTE & WOODS, INC. located in New York, New York.
Arthur is registered as a RR (Registered Representative) and started their career in finance in 1999. Arthur has worked at 5 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 25 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Arthur Richard Sarzen JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 30, 2007 - Present
KEEFE, BRUYETTE & WOODS, INC.
Office #1: 787 7th Ave. 4th & 5th Floors, New York, NY 10019March 16, 2004 - September 4, 2007
B. RILEY SECURITIES, INC.
April 8, 2002 - February 20, 2004
GLEACHER & COMPANY SECURITIES, INC.
March 1, 2002 - April 17, 2002
ABN AMRO INCORPORATED
April 30, 2001 - March 1, 2002
ABN AMRO SECURITIES LLC
February 26, 1999 - April 30, 2001
ABN AMRO INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/7/2007)
(9/7/2007)
(9/7/2007)
(9/7/2007)
(8/30/2007)
(9/7/2007)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 7/3/2001
Limited Representative-Equity Trader ExamSeries 25
Date: 3/23/2000
NYSE Trading Assistant ExaminationCboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
Investors' Exchange LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
KEEFE, BRUYETTE & WOODS, INC.
CRD#: 481 / SEC#: , 8-10888
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KBW, LLC | LIMITED LIABILITTY CORPORATION | |
| ANDERSON, SCOTT RANDALL | DIRECTOR | 2154345 |
| BERRY, JOSEPH SCOTT | DIRECTOR | 2868513 |
| DAVIS, ERICKSON P | DIRECTOR | 4974063 |
| FISHER, MARK | GENERAL COUNSEL | 4970942 |
| GRANT, ROBERT J | DIRECTOR | 4861012 |
| JOHNSTONE, MARY | CHIEF COMPLIANCE OFFICER | 1170408 |
| KELLEY, MATTHEW | DIRECTOR | 5330646 |
| MELINGER, ADAM SCOTT | ROSFP | 2373020 |
| MICHAUD, THOMAS BEAULIEU | CHIEF EXECUTIVE OFFICER, CHAIRMAN AND PRESIDENT | 1672278 |
| SMITH, RICHARD WILLIAM | PRINCIPAL FINANCIAL OFFICER & PRINCIPAL OPERATIONS OFFICER | 1333488 |
| WIRTH, PETER JOHN | DIRECTOR | 1623159 |
Disclosures
| Regulatory Event | 17 |
| Bond | 1 |
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.
