Arthur Rottenstein

1. What are your firm names?

• Broker Dealer

  Raymond James Financial Services, Inc Member FINRA/SIPC

2. What is your type of RIA registration?

• SEC

3. Are you a sole practitioner or a member of a firm or team?

• Sole Practitioner

4. What is your relationship to your Registered Investment Advisor?

• Independent Contractor

5. What are your years of applicable financial service experience?

• 30 Years

6. Do you have any college degree(s)?

7. Do you belong to any industry associations?

• FPA

8. What is your CRD or IARD number?

• 1034285

9. Do you hold any active securities licenses?

• 7, 6, 24, 63, 65

10. Which categories of financial services do you provide?

• Financial Planning Advice & Services
• Investment Advice & Services
• Insurance Advice & Services
• Tax Advice & Services

11. Which planning services do you provide?

• Financial Plans
• Retirement Plans
• College Plans
• Estate Plans
• Charitable Plans
• Tax Plans
• Other

12. Which investment advisory services do you provide?

• Investment Strategy & Policy
• Rebalancing
• Money Manager Selection
• Performance Reports
• Asset Allocation
• Risk Management

13. If you make investment decisions for clients, how do you invest their assets?

• Did Not Provide

14. How many clients (not accounts) do you currently service?

• Did Not Provide

15. What amount of client assets is currently under your management or advisement?

• Did Not Provide

16. What is minimum fee for your planning services?

• Did Not Provide

17. What is your minimum asset requirement for your investment services?

• $250,000

18. What is your minimum net worth requirement for your planning services?

• Did Not Provide

19. What type of compensation do you receive for your planning services?

• Asset Based Fees, Hourly Fees, Fixed Fees

20. What type of compensation do you receive for your investment advisory services?

• Asset Based Fees, Hourly Fees, Fixed Fees

21. Do you work with remote clients over the Internet and telephone?

• Yes

22. Do you hold any active insurance licenses?

• Life, Annuity, Long-Term Care, Disability, Health

23. Are you a Registered Investment Advisor or an Investment Advisor Representative?

• Yes

24. Do you acknowledge you are a fiduciary when you provide financial advice and services for fees?

• Yes

25. What states are covered by your registration(s) to sell investment advisory services?

• California
• Florida
• Colorado
• Georgia
• Illinois
• Maryland
• New Jersey
• New York
• Tennessee

26. What states are covered by your registration(s) to sell investment and brokerage products?

• Did Not Provide

27. What states are covered by your registration(s) to sell insurance products?

• Did Not Provide

28. Do you have any compliance disclosures for the past 5 years?

• Investment Disclosures: No
• Insurance Disclosures: No

29. Do you have any criminal disclosures since you became an adult?

• Misdemeanors: No
• Felonies: No

30. How do investors view your ADV Part II?

Available Upon Request

31. What languages do you speak fluently?

• Did Not Provide

32. What is your primary role?

• Did Not Provide

33. Which investment products do you sell?

• Mutual Funds
• REITs
• Other

34. Which insurance products do you sell?

• Life
• Fixed Annuities
• Variable Annuities
• Long Term Care
• Disability Income
• Health
• Business
• Other

35. Do you provide tax advice and services?

• No

36. Do you provide legal advice and services?

• Did Not Provide

37. Do you provide any limited engagement services?

• Did Not Provide

38. What types of clients do you work with?

• Individuals
• Companies (Non-Pension)

39. Where does your first meeting with a prospective client take place?

• Investor's Preference

40. Which companies act as custodians for your clients assets?

• Raymond James

41. What types of reports do you provide your clients and what is the frequency?

42. General Comments:

Did Not Provide

Certification