Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Arthur? Claim Your ProfileArthur T. Crist is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Arthur has over 20 years of experience in the securities industry. Arthur has been registered with Merrill Lynch since 2011. Prior to that, Arthur was registered with HSBC Securities (USA) Inc., Wells Fargo Advisors, LLC, TD Ameritrade, Inc., NYLIFE Distributors LLC, and Datek Online Financial Services LLC. Arthur has passed several securities exams, including the Series 7, 63, 66, 24, 4, 9, and 10. 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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
NJ
06/10/2011 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (ISELIN NJ)
NJ
10/06/2009 - 05/27/2011
HSBC SECURITIES (USA) INC. (MILLBURN NJ)
NJ
02/15/2007 - 09/16/2009
WELLS FARGO ADVISORS, LLC (PARSIPPANY NJ)
NJ
09/13/2004 - 05/23/2006
TD AMERITRADE, INC. (PARAMUS NJ)
NJ
09/03/2003 - 09/07/2004
NYLIFE DISTRIBUTORS LLC (JERSEY CITY NJ)
NJ
06/30/2001 - 09/25/2002
DATEK ONLINE FINANCIAL SERVICES LLC (JERSEY CITY NJ)
NE
05/01/2000 - 06/30/2001
DATEK ONLINE BROKERAGE SERVICES LLC (OMAHA NE)
BOTH
Issued 11/12/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/30/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/25/2013
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/24/2013
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/12/2001
Series 4 - Registered Options Principal Examination
BC
Issued 07/26/2000
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/10/2002
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 04/28/2000
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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