Arthur J. Petrie
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 Joseph Petrie was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 1969. Arthur had worked at 2 firms and has passed the Series 1 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 23, 1975 - March 7, 1988
GUARDIAN INVESTOR SERVICES LLC
March 1, 1974 - November 12, 1976
STEARNS & CO., INC.
February 3, 1969 - September 3, 1974
GUARDIAN INVESTOR SERVICES LLC
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 1
Date: 1/10/1968
Registered Representative ExaminationCurrent Firm
GUARDIAN INVESTOR SERVICES LLC
CRD#: 6635 / SEC#: 801-9654, 8-14108
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE GUARDIAN LIFE INSURANCE COMPANY OF AMERICA | OWNER | |
| BESSEL, MICHAEL JOSEPH | CHIEF COMPLIANCE OFFICER, ADVISER | 2963742 |
| CEFOLE, MICHAEL B | PRESIDENT & LLC MANAGER | 2720073 |
| FERIK, MICHAEL NICHOLAS | LLC MANAGER | 4994941 |
| POTTER, RICHARD THOMAS JR | SR. VICE PRESIDENT & COUNSEL | 1469205 |
| SENKER, LINDA ELLEN | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 1980001 |
| SHALLOW, KURT JOSEPH | V.P., RISK PRODUCTS DISTRIBUTION | 1650106 |
| SORELL, THOMAS GEORGE | CHIEF INVESTMENT OFFICER | 1020936 |
| SULLIVAN, DONALD PAUL JR | LLC MANAGER | 1022281 |
| WALTER, JOHN H. | SR. VP & CONTROLLER | 2358945 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
Red Flags
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