Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Arthur? Claim Your ProfileArthur Mario Sgroi is an investment advisor representative associated with Capital Client Group, Inc. Arthur has been working in the financial services industry for over 30 years, starting his career in 1989. Arthur has a diverse background, having worked for multiple firms in the industry. Arthur is registered with FINRA and is licensed to provide financial advice in multiple states including California, Arizona, Connecticut, Delaware, Florida, Georgia, Illinois, Maine, Massachusetts, Missouri, Nevada, New Hampshire, New Jersey, New York, Pennsylvania, Rhode Island, South Carolina, Texas, and Vermont. Arthur holds Series 7, 63, and 26 licenses, and has also passed the SIE exam. Arthur's current role at Capital Client Group, Inc. is focused on recommending affiliated investment advisors for separately managed accounts. Arthur also has a minority ownership interest in a few racehorses.
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.
Recommending affiliate as investment adviser of sma assets
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.
As agreed upon in a manner that covers registrant's costs
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2
CA
06/11/2013 - Present
Capital Client Group, Inc. (LOS ANGELES CA)
TN
03/21/2002 - 08/08/2002
ALLIANCE FUND DISTRIBUTORS, INC. (NASHVILLE TN)
RI
07/06/1994 - 01/11/2002
FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (SMITHFIELD RI)
SC
09/23/1992 - 06/15/1994
LINSCO/PRIVATE LEDGER CORP. (FORT MILL SC)
CT
11/29/1989 - 09/24/1992
W. S. GRIFFITH & CO., INC. (HARTFORD CT)
NY
09/20/1988 - 03/07/1989
NATHAN & LEWIS SECURITIES, INC. (NEW YORK NY)
BC
Issued 11/03/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/11/2003
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/17/1988
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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