Arthur A. Montuoro
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 Anthony Montuoro was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 1971. Arthur had worked at 7 firms and has passed the Series 63, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 30, 2004 - January 25, 2012
ARITAS SECURITIES LLC
July 22, 2002 - February 25, 2003
LABRANCHE FINANCIAL SERVICES, LLC
July 1, 1998 - May 5, 1999
COWEN AND COMPANY
March 11, 1997 - July 1, 1998
FINANCIAL SQUARE PARTNERS
February 14, 1994 - February 26, 1997
CHARLES SCHWAB & CO., INC.
September 26, 1978 - February 10, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 5, 1971 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
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
PC
Date: 5/2/1977
AMEX Put and Call ExamSeries 1
Date: 6/2/1969
Registered Representative ExaminationCurrent Firm
ARITAS SECURITIES LLC
CRD#: 128453 / SEC#: , 8-66136
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
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.
