Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Arthur? Claim Your ProfileArthur Goodall Alexander is a financial advisor with over 45 years of experience in the industry. Arthur currently works with Rockefeller Financial LLC. Prior to joining Rockefeller Financial LLC, Arthur was a registered representative at Merrill Lynch, Pierce, Fenner & Smith Incorporated for over 40 years. Arthur has a broad range of experience in the financial services industry, including investment advisory, securities sales, and insurance. Arthur holds several professional licenses and certifications, including Series 7, 10, 9, 53, 24, 4, 12, 31, 15, 5, 63, and SIE. Arthur is also a licensed insurance agent. Arthur specializes in providing financial planning, portfolio management, and investment advisory services to high-net-worth individuals, charitable organizations, corporations, and pension and profit-sharing plans. Arthur also provides investment advisory services to other investment 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.
A percentage of the total value of assets under management is charged.
1
2
TX
11/25/2019 - Present
Rockefeller Financial LLC (Dallas TX)
TX
09/26/1978 - 11/26/2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (DALLAS TX)
NA
03/08/1974 - 09/26/1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
BC
Issued 02/01/1982
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 12/14/1982
Series 53 - Municipal Securities Principal Examination
BC
Issued 10/15/1981
Series 24 - General Securities Principal Examination
BC
Issued 05/05/1981
Series 4 - Registered Options Principal Examination
BC
Issued 02/21/1981
Series 12 - NYSE Branch Manager Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/13/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 06/01/1984
Series 15 - Foreign Currency Options Examination
BC
Issued 12/12/1981
Series 5 - Interest Rate Options Examination
BC
Issued 09/08/1977
PC - AMEX Put and Call Exam
BC
Issued 03/06/1974
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
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