AS
Arthur J. Stainman
FIRST MANHATTAN CO. LLC
New York, NY 10022
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CRD#: 721091
AS
Professional summary
Arthur Joel Stainman is a registered financial advisor currently at FIRST MANHATTAN CO. LLC located in New York, New York and FIRST MANHATTAN SECURITIES LLC located in New York, New York.
Arthur is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1980. Arthur has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 41, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
130-140 WEST CANAL LLP. Arthur Stainman, Partner Real Estate Devotes 2 hours per month and 0 hours during trading hours. No compensation received FIRST VERMONT PROPERTIES LLC. Arthur Stainman, Partner 130 West Canal Street, Winooski, VT Real Estate 2 hours per month devoted to business, 0 hours during trading hours 0 compensation at present date RIDER UNIVERSITY. Trustee and Chair of the Investment Committee 2083 Lawrenceville Road, Lawrenceville, NJ Undergraduate and graduate education through the following colleges and schools: Norm Brodsky College of Business College of Education and Human Services College of Liberal Arts and Sciences School of Fine and Performing Arts Westminster Choir College 8 days per year devoted, 0 during trading hours No compensation
CRS (Client Relationship Summary) - RIA
Click below to view Arthur Joel Stainman's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
February 16, 2023 - Present
FIRST MANHATTAN CO. LLC
Office #1: 399 Park Avenue, New York, NY 10022RIA
CRD#: 325281
New York, NY
Current
December 24, 1980 - Present
FIRST MANHATTAN SECURITIES LLC
Office #1: 399 Park Avenue, New York, NY 10022BD
CRD#: 1845
New York, NY
Past
May 18, 2021 - March 10, 2023
FIRST MANHATTAN SECURITIES LLC
RIA
CRD#: 1845
New York, NY
Past
April 9, 1986 - April 9, 1986
FIRST MANHATTAN SECURITIES LLC
BD
CRD#: 1845
Past
December 31, 1980 - February 2, 1983
FIRST MANHATTAN SECURITIES LLC
BD
CRD#: 1845
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
FM
FIRST MANHATTAN CO. LLC
FIRST MANHATTAN CO. LLC
CRD#: 325281 / SEC#: 801-12411
RIA
Registered Investment Advisory firm - (1/13/1977 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(2/16/2006)
RR
California(10/26/1995)
RR
Colorado(4/24/2019)
RR
Connecticut(3/28/1991)
RR
Delaware(9/24/1996)
RR
District of Columbia(3/19/1993)
RR
Florida(3/20/1986)
RR
Georgia(1/10/2006)
RR
Illinois(1/18/1990)
RR
Indiana(6/11/1996)
RR
Kansas(1/25/1995)
RR
Maine(11/2/2005)
RR
Maryland(3/28/1991)
RR
Massachusetts(6/4/1993)
RR
Michigan(4/3/2012)
RR
Minnesota(10/30/2008)
RR
New Hampshire(12/17/2002)
RR
New Jersey(3/20/1986)
RR
New York(5/11/2000)
IAR
New York(2/16/2023)
RR
North Carolina(9/3/1996)
RR
Ohio(3/19/1993)
RR
Pennsylvania(6/4/1993)
RR
Rhode Island(2/25/2020)
RR
South Carolina(2/25/2020)
RR
South Dakota(6/11/1996)
RR
Texas(10/26/1995)
RR
Vermont(5/1/2015)
RR
Virginia(6/11/1996)
RR
Washington(10/26/1995)
RR
West Virginia(6/27/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 41
Date: 7/20/1985
NYSE Allied Member ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
FM
FIRST MANHATTAN CO. LLC
FIRST MANHATTAN CO. LLC
CRD#: 325281 / SEC#: 801-12411
RIA
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Contact information
Main Address
399 Park Avenue, New York, NY 10022
Mailing Address
Phone number
(212) 756-3300
Established
Firm type
Fiscal year end
# of Employees
132
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 5,722 |
| AUM (Assets Under Management) | $ 34,439,571,092 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/25/2024 | ||
| 11/28/2023 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
