Arthur P. Sundry
Professional summary
Arthur Paul Sundry III, who also goes by Art Paul Sundry III, Arthur Paul Sundry, is a registered financial professional currently at MOELIS & COMPANY LLC located in Chicago, Illinois.
Arthur is registered as a RR (Registered Representative) and started their career in finance in 2013. Arthur has worked at 3 firms and has passed the Series 63, Series 7TO, SIE and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Arthur Paul Sundry III's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 1, 2024 - Present
MOELIS & COMPANY LLC
Office #1: 444 West Lake Street Suite 1940, Chicago, IL 60606June 4, 2018 - September 19, 2024
ROTHSCHILD & CO US INC.
August 24, 2013 - May 3, 2018
UBS SECURITIES 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
(10/1/2024)
Exams
Series 7TO
Date: 12/27/2024
General Securities Representative ExaminationFINRA
Current Firm
MOELIS & COMPANY LLC
CRD#: 145115 / SEC#: , 8-67705
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MOELIS & COMPANY GROUP LP | PARENT COMPANY | |
| CALLESANO, CHRIS PETER | CFO, PRINCIPAL OPERATIONS OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4889259 |
| MAHMOODZADEGAN, NAVID ALI | CHIEF EXECUTIVE OFFICER | 2609804 |
| MOELIS, KENNETH DAVID | EXECUTIVE CHAIRMAN | 1015047 |
| PILCHER CIAFONE, KATHERINE CELY | CHIEF OPERATING OFFICER | 4573006 |
| RAICH, JEFFREY ALAN | EXECUTIVE VICE CHAIRMAN | 2016620 |
| WATANABE, OSAMU RICHARD | CHIEF LEGAL OFFICER AND CHIEF COMPLIANCE OFFICER | 2875185 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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