Arthur T. Torrey
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 T Torrey JR was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 1971. Arthur had worked at 3 firms and has passed the Series 6TO, SIE 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
November 30, 1978 - October 28, 2021
PYRAMID FUNDS CORPORATION
April 16, 1973 - February 12, 1979
ILG SECURITIES CORPORATION
April 1, 1971 - February 12, 1972
DERAND/PENNINGTON/BASS, 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
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 1
Date: 3/31/1971
Registered Representative ExaminationCurrent Firm
PYRAMID FUNDS CORPORATION
CRD#: 3110 / SEC#: , 8-12769
Contact information
FINRA licenses (13 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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