Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Arthur? Claim Your ProfileArthur Sherman is an investment advisor representative with Morgan Stanley. Arthur has been in the financial services industry since November 2007. Arthur is registered with FINRA and the Securities Investor Protection Corporation (SIPC). Arthur holds the Series 65, Series 66, Series 7, Series 31, and SIE licenses. Arthur's previous employment includes Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley Smith Barney LLC, and Citigroup Global Markets Inc. Arthur specializes in asset allocation advice, financial planning, pension consulting, educational seminars, selection of other advisors, and portfolio management for individuals, businesses, and investment companies.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
See schedule d miscellaneous
1
2
NY
10/02/2020 - Present
Morgan Stanley (New York NY)
NY
02/26/2010 - 10/05/2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
06/01/2009 - 03/15/2010
MORGAN STANLEY SMITH BARNEY (NEW YORK NY)
NY
11/02/2007 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
IA
Issued 6/18/2021
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 11/15/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 6/25/2010
Series 31 - Futures Managed Funds Examination
BC
Issued 10/31/2007
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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