Arthur Rottenstein
Boca Raton, Florida, 33431
Member Since 2006
Your financial objectives are given our highest priority. Our expertise, experience and integrity will help you create plans to achieve your financial goals, whether they are goals for a independent retirement, helping you plan for your children\'s education, or perhaps philanthropic goals. You will always have the confidence knowing that you have entrusted your financial future to a firm that always puts you and your interests first.
My Location
Background Information
Years of Financial Experience
- 28
Education
- Tel Aviv University (Tel Aviv University, 1 year)
- University of Maryland (University of Maryland, 3 years)
Association Memberships
- FPA
Methods of Compensation
- Financial Planning: Asset-based fee, Hourly fee, Fixed fee
- Investment Services: Asset-based fee, Hourly fee, Fixed fee
Full Disclosure
- I practice full disclosure for credentials, ethics, business practices, compensation, potential conflicts of interests, and financial services.
Primary Custodian(s)
- Raymond James
Types of Financial Reports
- Performance Report (Quarterly)
- Custodial Report (Monthly)
Additional Business Practices
- I provide a written agreement to clients before I provide any advice or services.
- I work with remote clients over the telephone and Internet
- My clients have online access to their financial data
- I review my clients' financial plans with them quarterly
- I review my clients' investment portfolios with them quarterly
Registration & Licensing
- CRD/IARD Number: 1034285
- Securities Registrations: Series 65, Series 63, Series 7, Series 6, Series 24
- Insurance Licenses: Life, Annuity, Long-Term Care, Disability, Health
Company Names
- Broker/Dealer: Raymond James Financial Services, Inc Member FINRA/SIPC
Fiduciary Status
- Acknowledged Fiduciary in advisory relationships
Compliance Record
- No Disclosures
Criminal Record
- No Disclosures
Registered or licensed to provide financial advice, services, and products
- California
- Colorado
- Florida
- Georgia
- Illinois
- Maryland
- New Jersey
- New York
- Tennessee
Planning Services
- Financial Planning, Retirement, College Funding, Estate, Charitable, Tax, Estate evaluation and planning
Investment Services
- Strategy Development, Asset allocation, Performance Reporting, Tax Efficient Strategies
Investment Products
- Mutual Funds, Securities, REITs, Equity
Insurance Products
- Life, Fixed Annuity, Variable Annuity, Long-Term Care, Disability Income, Health, Business
Visit Website - http://www.BocaRatonfinancialplanner.com
