Arthur A. Paty
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 Allen Paty III, who also goes by Arthur Allen Paty, was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 1964. Arthur had worked at 8 firms and has passed the Series 63, PC and Series 1 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 20, 1987 - March 25, 1994
CIBC WORLD MARKETS CORP.
March 6, 1987 - April 15, 1987
PRUDENTIAL EQUITY GROUP, LLC
May 19, 1978 - March 20, 1986
KIDDER, PEABODY & CO. INCORPORATED
September 16, 1974 - May 19, 1978
KIDDER, PEABODY & CO., INCORPORATED
October 30, 1973 - May 15, 1974
CLARK, DODGE & CO., INCORPORATED
March 8, 1973 - October 21, 1973
LEHMAN BROTHERS INCORPORATED
January 20, 1972 - April 5, 1973
WHITE, WELD & CO. INCORPORATED
January 15, 1964 - February 12, 1971
GOODBODY & CO. 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
Exams
PC
Date: 8/15/1977
AMEX Put and Call ExamSeries 1
Date: 3/13/1957
Registered Representative ExaminationCurrent Firm
CIBC WORLD MARKETS CORP.
CRD#: 630 / SEC#: , 8-18333
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CIBC INC. | 100% SHAREHOLDER | |
| CONSOLA, PATRICK D | CHIEF COMPLIANCE OFFICER | 1133831 |
| DUBCZAK, ROMAN STEPAN | DIRECTOR | 5511542 |
| GRIFFITH, MARVIN SCOTT | PRINCIPAL FINANCIAL OFFICER | 1670889 |
| PERRY, ACHILLES M | GENERAL COUNSEL, ASSISTANT SECRETARY, DIRECTOR | 4183476 |
| PRICE, ERIC S | CHIEF EXECUTIVE OFFICER & PRESIDENT | 1985843 |
| TRABOULSI, ALFRED | MANAGING DIRECTOR, HEAD US INVESTMENT BANKING | 6594715 |
| ZELLERMAYER, MICHAEL | PRINCIPAL OPERATIONS OFFICER | 1662785 |
Disclosures
| Regulatory Event | 76 |
| Arbitration | 86 |
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.
