Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Arthur? Claim Your ProfileArthur Vincent Gorman is a registered representative with Stifel, Nicolaus & Company, Inc. Arthur has been in the securities industry since 1997, and has experience with several firms including Merrill Lynch, Pierce, Fenner & Smith Incorporated and Wells Fargo Clearing Services, LLC. Arthur has a range of certifications including Series 7, Series 63, Series 55 and SIE. Arthur specializes in financial planning, pension consulting, portfolio management for businesses and individuals, and selection of other advisors. Arthur is also a board member of the Marine Corps University Foundation.
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.
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
NY
09/23/2021 - Present
Stifel, Nicolaus & Company, Inc. (NEW YORK NY)
NY
07/30/2015 - 09/28/2021
WELLS FARGO CLEARING SERVICES, LLC (NEW YORK NY)
NY
04/17/2013 - 08/03/2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
08/19/2005 - 09/13/2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
12/10/1997 - 04/05/2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 05/16/2013
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/24/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/27/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 12/08/1997
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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