Arthur H. Getz
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 H Getz III, who also goes by Arthur Henry Getz III, Chip Getz, Arthur H Getz III, Arthur Henry Getz, was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 2004. Arthur had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 31, 2022 - June 5, 2025
EATON VANCE DISTRIBUTORS, INC.
June 2, 2022 - October 5, 2022
FORESIDE FUND SERVICES, LLC
May 5, 2022 - June 2, 2022
IMST DISTRIBUTORS, LLC
June 7, 2019 - March 14, 2022
HRC FUND ASSOCIATES, LLC
April 21, 2016 - May 31, 2019
INVESCO ADVISERS, INC.
April 12, 2016 - May 31, 2019
INVESCO DISTRIBUTORS, INC.
January 15, 2015 - March 22, 2016
HATTERAS INVESTMENT PARTNERS, LP
January 14, 2015 - March 22, 2016
HATTERAS CAPITAL DISTRIBUTORS, LLC
November 21, 2014 - January 26, 2015
FORESIDE FUND SERVICES, LLC
February 27, 2014 - June 11, 2014
NATIONAL SECURITIES CORPORATION
December 10, 2013 - November 5, 2014
ASTOR INVESTMENT MANAGEMENT LLC
March 1, 2013 - July 19, 2013
OAKPATH FINANCIAL
October 13, 2010 - May 22, 2012
NEUBERGER BERMAN BD LLC
May 28, 2009 - October 28, 2010
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
April 11, 2007 - November 5, 2008
FORESIDE FUND SERVICES, LLC
April 13, 2004 - January 8, 2007
INVESCO CAPITAL MARKETS, 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
Current Firm
EATON VANCE DISTRIBUTORS, INC.
CRD#: 37731 / SEC#: , 8-47939
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | SHAREHOLDER | |
| FAHEY, LAWRENCE LOUIS | PRINCIPAL OPERATIONS OFFICER | 2097212 |
| FAMIGLIETTI, FRANK J | DIRECTOR | 2702269 |
| KASETA, LYNN M | CHIEF COMPLIANCE OFFICER | 6451373 |
| KUSH, ANTHONY N | PRINCIPAL FINANCIAL OFFICER, AND, FINANCIAL AND OPERATIONS PRINCIPAL OFFICER | 7463692 |
| LEFEVRE, BENJAMIN WILLIAM | TEXAS DESIGNATED PRINCIPAL | 2261749 |
| LEIMENSTOLL, ANDREW JOHN | DIRECTOR | 4640636 |
| MICHAUD, DAVID ANDREW | DIRECTOR | 2730645 |
| WITKOS, MATTHEW JOSEPH | PRESIDENT, CEO, AND DIRECTOR | 2034689 |
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.
