Arthur A. Raiola
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 Raiola was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 1970. Arthur had worked at 8 firms and has passed the Series 55 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
January 2, 2000 - December 31, 2001
JOSEPHTHAL & CO., INC.
April 25, 1985 - January 30, 1998
UBS FINANCIAL SERVICES INC.
February 7, 1980 - June 27, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
December 3, 1979 - March 5, 1985
LEHMAN BROTHERS INC.
August 5, 1976 - January 28, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
December 7, 1973 - August 16, 1976
WILLIAM D. WITTER, INC.
September 28, 1973 - December 15, 1973
M. S. WIEN & CO., INC.
January 2, 1970 - August 20, 1973
LEHMAN BROTHERS 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
Series 55
Date: 12/27/1999
Limited Representative-Equity Trader ExamSeries 1
Date: 12/22/1969
Registered Representative ExaminationCurrent Firm
JOSEPHTHAL & CO., INC.
CRD#: 3227 / SEC#: , 8-5651
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JOSEPHTHAL CAPITAL GROUP, INC. | PARENT | |
| AGOSTA, SALVATORE FRANK | CHIEF FINANCIAL OFFICER | 1253738 |
| FICHTNER, HENRY ARTHUR | NATIONAL MANAGER-RETAIL DIVISION-VICE PRESIDENT | 1327009 |
| FITZGERALD, PAUL HENRY | CEO - CHAIRMAN - PRESIDENT - CHIEF OPERATING OFFICER - DIRECTOR | 812775 |
| HURLEY, KEVIN BRADY | COMPLIANCE DIRECTOR | 1293748 |
| KRONENBERG, DAVID HIRSCH | CHIEF ADMINISTRATIVE OFFICER | 1799665 |
| MATYCKAS, EDWARD STANLEY | CROP/SROP | 1405961 |
| MCCABE, DONALD GERARD | GENERAL COUNSEL - REGULATION & LITIGATION - ASSISTANT SECRETARY | 1367480 |
| MCNAMARA, DENNIS PATRICK | GENERAL COUNSEL - CORPORATE-VICE PRESIDENT | 2938486 |
Disclosures
| Regulatory Event | 32 |
| Arbitration | 12 |
Red Flags
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