Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Arthur? Claim Your ProfileArthur Haverty is a securities professional with over 20 years of experience in the financial industry. Arthur is currently registered with Bofa Securities, Inc. and is located in the NEW YORK, NY branch office. Prior to joining Bofa Securities, Inc., Arthur was employed with Merrill Lynch, Pierce, Fenner & Smith Incorporated, Barclays Capital Inc. and Morgan Stanley & Co. LLC. Arthur has a strong background in trading and investment banking. Arthur holds the Series 4, Series 7, Series 10, Series 24, Series 55, Series 57TO, Series 79TO and Series 99TO licenses. Arthur is also a registered principal.
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.
Research-related services
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.
Negotiated fees for research-related services
1
2
NY
05/10/2019 - Present
Bofa Securities, Inc. (NEW YORK NY)
NY
10/14/2015 - 05/10/2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
04/10/2012 - 07/23/2015
BARCLAYS CAPITAL INC. (NEW YORK NY)
NY
05/10/2006 - 04/16/2012
MORGAN STANLEY & CO. LLC (NEW YORK NY)
NY
06/04/2002 - 05/08/2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BC
Issued 09/10/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/05/2007
Series 4 - Registered Options Principal Examination
BC
Issued 08/18/2006
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/06/2006
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 06/03/2002
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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