Arthur W. Mocabee
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 Ward Mocabee JR, who also goes by Arthur W Mocabee, was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 1980. Arthur had worked at 3 firms and has passed the Series 63, Series 65, Series 6TO, Series 22TO, SIE, Series 7, Series 1 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 8, 2024 - August 9, 2024
KNIGHTS OF COLUMBUS ASSET ADVISORS LLC
January 18, 2000 - October 14, 2022
EQUITABLE ADVISORS, LLC
October 20, 1980 - October 14, 2022
EQUITABLE ADVISORS, LLC
March 20, 1980 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
Primary Firm SEC Registration
KNIGHTS OF COLUMBUS ASSET ADVISORS LLC
CRD#: 174129 / SEC#: 801-80844
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 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationSeries 1
Date: 3/12/1980
Registered Representative ExaminationCurrent Firm
KNIGHTS OF COLUMBUS ASSET ADVISORS LLC
CRD#: 174129 / SEC#: 801-80844
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,592 |
| AUM (Assets Under Management) | $ 28,035,873,347 |
Red Flags
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