TrueAdvisor
TrueAdvisor
AR
AR

Arthur Rottenstein

Raymond James Financial Services Advisors, INC
43 Years of Experience
Boca Raton, FL
1 DisclosureBroker
View SEC Summary
View SEC Summary

Arthur Rottenstein is a registered investment advisor at Raymond James Financial Services Advisors, INC, based in Boca Raton, FL, with 43 years of industry experience. Arthur is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Education Planning, Estate Planning, Financial Planning & Coaching, and 5 more. Their firm serves 508,439 clients with $390B in assets under management.

Raymond James Financial Services Advisors, INC
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
6724 advisors
Number of Clients
508,439 clients
Average Client Portfolio
$767K average
Assets Under Management
$390.0B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Maximum annual fee percentage is 2.25% of assets under advisement. Specific fees are negotiable with your financial advisor based on time, complexity, and portfolio size.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

301 Yamato Road, Suite 3160, Boca Raton, FL, 33431

Get directions

History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
June 1988
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Arthur owns rental real estate and dedicates minimal time to it. He also owns Arthur Rottenstein, LLC and is an officer of Boca Raton Financial Planners, both requiring minimal time and used for support or website purposes.

Employment History
Current Registrations
Raymond James Financial Services Advisors, INC
October 2009 - Present · 17 yrs
Raymond James Financial Services, INC.Broker
March 2002 - Present · 24 yrs 7 mos
Previous Registrations
Raymond James Financial Services
March 2002 - November 2009 · 7 yrs 8 mos
American Investment Services, INC.Broker
June 1997 - April 2002 · 4 yrs 10 mos
First Security Investments, INC.Broker
July 1996 - February 1997 · 7 mos
PCM Securities Limited, L.P.Broker
July 1995 - June 1996 · 11 mos
Yankee Financial Group, INC.Broker
December 1990 - November 1994 · 3 yrs 11 mos
Prudential-Bache Securities INC.Broker
September 1989 - December 1990 · 1 yr 3 mos
Thomson Mckinnon Securities INC.Broker
June 1988 - September 1989 · 1 yr 3 mos
Painewebber IncorporatedBroker
June 1986 - June 1988 · 2 yrs
David Lerner Associates, INC.Broker
September 1982 - June 1986 · 3 yrs 9 mos
State Registrations40 states
ALARAZCACOCTDCDEFLGAILINKSKYLAMAMDMEMIMNMOMTNCNENJNVNYOHOKORPARISCTNTXVAVTWAWIWV
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
More Advisors
  • Mohammed Ansari
    Raymond James Financial Services Advisors, INC
  • Steven Schiff, CFP
    Raymond James Financial Services Advisors, INC
  • Donald Kent
    Raymond James Financial Services Advisors, INC
  • Dwight Campbell, ChFC
    Raymond James Financial Services Advisors, INC
  • Evan Mayer, CFP
    Raymond James Financial Services Advisors, INC
  • David Burg, CFP, ChFC
    Raymond James Financial Services Advisors, INC
More financial advisors in Boca Raton, FL →All financial advisors in Florida →