Arthur Steven Rottenstein

Current Employers

Raymond James Financial Services Advisors, Inc

880 Carillon Parkway, Saint Petersburg, FL 33716 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2021-12-20
FL	RA	APPROVED	2009-10-23

TX RA
APPROVED_RES

Since 2021-12-20
FL RA
APPROVED

Since 2009-10-23

Branch Locations

301 Yamato Road Suite 3160, Boca Raton, FL 33431 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Raymond James Financial Services Advisors, Inc	Boca Raton	FL	01/2009	Present

01/2009 → Present

Raymond James Financial Services Advisors, Inc

Boca Raton, FL

Other Businesses

(1)Name of Business: Address: 6449 via rosa, boca raton, FL, 33433, United States Activity Type: Rental Real Estate Position/Title: Owner/Proprietor Investment Related: Yes Start Date: 02/08/2017 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: I bought a duplex that I am renting out. (2)Name of Business: Arthur Rottenstein, LLC Address: office, 301 Yamato Rd suite 3160, FL, 33431, United States Activity Type: Support Company - Owner Position/Title: Other Investment Related: No Start Date: 06/28/2005 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: NOT REQUIRED AT TIME OF SUBMISSION (3)Name of Business: Boca Raton financial planners Address: 301 Yamato Road, Boca Raton, FL, 33431, United States Activity Type: Support Company - Owner Position/Title: Officer - President Investment Related: No Start Date: 04/12/2022 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: it's for website purposes only- no stationary has this name

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-10-11
S63	Uniform Securities Agent State Law Examination	1987-06-19

S65 Uniform Investment Adviser Law Examination

1999-10-11
S63 Uniform Securities Agent State Law Examination

1987-06-19