Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Arthur? Claim Your ProfileArthur Alexander Caione is an active investment advisor representative, registered with Oppenheimer & Co. Inc. in New York and New Jersey. Arthur has been in the industry since April 1992, and holds the following licenses: Series 3, Series 7, Series 63, Series 65, Series 66, and the SIE. Arthur has experience working with high-net-worth individuals, corporations and other businesses, insurance companies, charitable organizations, pension and profit-sharing plans, and retirement and other entity types. Arthur is affiliated with Oppenheimer & Co. Inc., which is a registered investment advisor with over $27 billion in assets under management. The firm offers a wide range of services, including financial planning, portfolio management for individuals, businesses, and pooled investment vehicles, and selection of other advisors.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
NY
04/07/2021 - Present
Oppenheimer & Co. Inc. (NEW YORK NY)
NY
04/16/1992 - 01/03/2003
CIBC WORLD MARKETS CORP. (NEW YORK NY)
BOTH
Issued 03/23/2016
Series 66 - Uniform Combined State Law Examination
IA
Issued 08/05/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/05/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/23/1992
Series 3 - National Commodity Futures Examination
BC
Issued 04/14/1992
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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