Arthur Vincent Gorman

Employer firm

Stifel, Nicolaus & Company, Incorporated CRD 793

$198B regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 07/2015 → 11/2016
  Wells Fargo Advisors
  New York, NY
• 11/2016 → 09/2021
  Wells Fargo Clearing Services, Llc
  New York, NY
• 09/2021 → Present
  Stifel Nicolaus & Co Inc
  New York, NY

Previous Registrations

• 2015-07-30 → 2021-09-28
  Wells Fargo Clearing Services, Llc
  New York, NY
  New York, NY
• 2013-05-17 → 2015-08-03
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  New York, NY
• 2004-07-27 → 2005-04-05
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  New York, NY

Other Businesses

1. Marine Corps University Foundation; PO Box 122, Quantico, VA 22134; Education of Military Officers; Board of Directors - Strategy; Attend meetings; 01/01/2020; 12 Hours per Year; Not During Securities Trading Hours; Not Investment-Related. 2. Marine Corps Law Enforcement Foundation; 273 Columbus Ave Tuckahoe NY 10707; MCLEF provides a $40,000 educational account for every child who loses a parent serving on active duty in the USMC; Strategy; Administrative; 01/22/2026; 8 hrs/year; Not during security trading hours; Not Investment-Related

Exams

• S65 Uniform Investment Adviser Law Examination
  2013-05-16
• S63 Uniform Securities Agent State Law Examination
  1997-09-24

Other Names

• Arthur (Jr) Gorman
• Arthur Vincent Gorman
• Art Gorman Jr.
• Arthur Vincent Gorman Jr.
• Arthur V Gorman
• Arthur V Gorman
• Arthur V Gorman