Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Arthur? Claim Your ProfileArthur Steven Rottenstein has been in the financial services industry since September 24, 1983. Arthur is currently registered with Raymond James Financial Services Advisors, Inc. in Florida and Texas. Arthur has a wide range of experience in the industry, having worked for several firms before joining Raymond James. Arthur's experience includes working for American Investment Services, Inc. in Oklahoma, First Security Investments, Inc. in Pennsylvania, PCM Securities Limited, L.P. in Florida, Yankee Financial Group, Inc. in New York, Prudential-Bache Securities Inc. in New York, Thomson McKinnon Securities Inc. in New York, Paine Webber Incorporated, and David Lerner Associates, Inc.. Arthur is a licensed investment advisor and holds several industry certifications, including the Series 7, 6, 22, 52, 24, 63, and 65 exams. Arthur specializes in providing financial planning, portfolio management, and pension consulting services to individuals, corporations, and other businesses.
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.
Hourly & fixed rate consultations
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.
Per participant (erisa)
1
2
FL
12/20/2021 - Present
Raymond James Financial Services Advisors, Inc. (BOCA RATON FL)
OK
06/25/1997 - 04/17/2002
AMERICAN INVESTMENT SERVICES, INC. (OKLAHOMA CITY OK)
PA
07/22/1996 - 02/13/1997
FIRST SECURITY INVESTMENTS, INC. (KINGSTON PA)
FL
07/14/1995 - 06/28/1996
PCM SECURITIES LIMITED, L.P. (GREEN ACRES FL)
NY
12/14/1990 - 11/28/1994
YANKEE FINANCIAL GROUP, INC. (MELVILLE NY)
NY
09/15/1989 - 12/06/1990
PRUDENTIAL-BACHE SECURITIES INC. (NEW YORK NY)
NY
06/07/1988 - 09/15/1989
THOMSON MCKINNON SECURITIES INC. (NEW YORK NY)
NA
06/12/1986 - 06/28/1988
PAINEWEBBER INCORPORATED
NA
09/02/1982 - 06/16/1986
DAVID LERNER ASSOCIATES, INC.
IA
Issued 10/11/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/19/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/05/1997
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/19/1986
Series 7 - General Securities Representative Examination
BC
Issued 03/04/1985
Series 22 - Direct Participation Programs Representative Examination
BC
Issued 11/08/1984
Series 6 - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 04/15/1982
Series 52 - Municipal Securities Representative Examination
Active
Inactive
F
FINRA
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