Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Arthur? Claim Your ProfileArthur Gerard Caione is an active broker-dealer and investment adviser representative with over 50 years of experience in the financial services industry. Arthur Gerard Caione is currently registered with Oppenheimer & Co. Inc. Previously, Arthur Gerard Caione was registered with CIBC WORLD MARKETS CORP. Arthur Gerard Caione holds a Series 63, Series 65, Series 7TO, Series 9, Series 10, Series 12, Series 24 and Series 40 license, and is a CERTIFIED FINANCIAL PLANNER™. Arthur Gerard Caione's areas of specialization include financial planning, pension consulting, selection of other advisers, portfolio management for businesses, and portfolio management for individuals.
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
02/28/1978 - 01/03/2003
CIBC WORLD MARKETS CORP. (NEW YORK NY)
NA
04/03/1988 - 04/18/1995
OPPENHEIMER & CO., INC.
NA
02/24/1978 - 03/25/1978
DEAN WITTER REYNOLDS INC.
NA
09/09/1974 - 02/24/1978
NA
05/21/1968 - 09/26/1974
IA
Issued 08/05/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/21/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 24 - General Securities Principal Examination
BC
Issued 07/28/1975
Series 40 - Registered Principal Examination
BC
Issued 12/09/1974
Series 12 - NYSE Branch Manager Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/12/1981
Series 5 - Interest Rate Options Examination
BC
Issued 03/06/1978
PC - AMEX Put and Call Exam
BC
Issued 06/08/1966
Series 1 - Registered 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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