Role at Cerity Partners
- Title on Schedule A
- Chief Compliance Officer
- Control
- Arthur Prostick is a control person of Cerity Partners.
- Ownership
- An individual ownership band is not available in the source record.
- Tenure
- Arthur Prostick has held the filed role since March 2024.
The firm
Form ADV filed 13 July 2026
Career on record
- Passed Series 14, Series 9 and Series 10 · 2023
- Passed Series 63 · 2021
- Passed SIE · 2018
- Passed Series 24 · 2010
- Passed Series 7 · 2005
Registrations and exams
Broker registration; no current adviser registration. Arthur Prostick has passed 7 qualifying exams.
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 63 | Uniform Securities Agent State Law Examination | 15 January 2021 |
| Series 10 | General Securities Sales Supervisor - General Module Examination | 6 April 2023 |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 3 February 2023 |
| Series 14 | Compliance Officer Examination | 2 January 2023 |
| Series 24 | General Securities Principal Examination | 27 April 2010 |
| SIE | Securities Industry Essentials Examination | 1 October 2018 |
| Series 7 | General Securities Representative Examination | 1 November 2005 |
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- Compliance Officer Examination
- Name
- General Securities Principal Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
Individual record
- Full name
- Arthur Isom Prostick
- CRD
- 2254400
- Registration status
- Broker registration; no current adviser registration
- Firm bio
- ceritypartners.com
This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov
Background
Art is the firm’s Chief Compliance Officer and a Partner in the Saratoga Springs office. He is responsible for overseeing the firm’s compliance program. Prior to joining Cerity Partners, Art served as a Vice President at Goldman Sachs in a variety of roles, including as a lawyer in their legal department and serving as the Chief Compliance Officer of The Ayco Company for over 10 years. Before his work at Goldman Sachs, Art worked as an associate in the public and corporate finance groups of Sidley Austin Brown & Wood in New York City. CERITY PARTNERS LLC official biography — Art Prostick
Common questions
Where does Arthur Prostick work?
Arthur Prostick has been Chief Compliance Officer of Cerity Partners LLC since March 2024, and is a control person of the firm.
Does Arthur Prostick have a current investment-adviser registration?
Arthur Prostick has a current broker registration and no current investment-adviser registration, as of 17 October 2026.
What exams has Arthur Prostick passed?
Arthur Prostick has passed 7 licensing exams: the Series 7, Series 24, SIE, Series 63, Series 14, Series 9 and Series 10. The earliest, the Series 7, was passed in November 2005.
Leadership at Cerity Partners
- Kurt MiscinskiChief Executive Officer
- Kevin HildenPresident
- Suketu ShahChief Financial Officer
- Robert JeffersChief Operations Officer
- Neil QuinlanDirector of Operations
- Robert SecoGeneral Counsel