Arthur Gary Gottlieb
Professional Summary
Arthur Gary Gottlieb was a registered financial advisor. Arthur was a previously registered financial professional and started their career in finance 1998 - 2018. Arthur had worked at 1 firm and has passed the Series 63, SIE, Series 7, Series 62, Series 28 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
28 years in the financial services industry
Current & Past Employments
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Current Firm
ALANTRA, LLC | DOWNER & COMPANY, LLC | DOWNER & COMPANY
Contact Information
Main Address
160 Federal Street Suite 1302, Boston, MA 02110Mailing Address
160 Federal Street Suite 1302, Boston, MA 02110Phone Number
(617) 482-6200Established
Massachusetts since 12/29/1996Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (5 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 62 — Corporate Securities Limited Representative Examination
Passed Apr 1998Series 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed Oct 2012About the Series 28 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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