Arthur Finkelberg

Employer firm

Raymond James & Associates, Inc. CRD 705

$501B regulatory AUM 2,231 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 12/2011 → Present
  Raymond James & Associates
  Ridgeland, MS

Previous Registrations

• 2008-01-01 → 2011-12-07
  Wells Fargo Clearing Services, Llc
  Ridgeland, MS
• 2003-12-04 → 2008-01-01
  A. G. Edwards & Sons, Inc.
  Ridgeland, MS
  Ridgeland, MS
  St. Louis, MO

Other Businesses

(1)Name of Business: Beth Israel Congregation Address: 5315 Old Canton Road, Jackson, MS, 39211, United States Activity Type: Non profit Position/Title: Finance/Investment Committee Member Investment Related: Yes Start Date: 01/01/2024 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 will be no longer be a Co-Chair for the committee, just a member. The committee oversees 10 - 15 different funds with different purposes. Responsible for budget, making recommendations and reporting to Beth Israel Board. (2)Name of Business: Finkelberg Racing LLC Address: Hochstetler Racing, Home based in Pinehurst NC and Hossier Park, NC, 28374, United States Activity Type: Business Owner Position/Title: Owner/Proprietor Investment Related: No Start Date: 11/21/2016 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 2-10 Description of duties: Currently my wife & I have a 1/2 interest in two standardbred race horses and may purchase or sell more in the future

Exams

• S65 Uniform Investment Adviser Law Examination
  2004-09-17
• S63 Uniform Securities Agent State Law Examination
  1982-11-23

Designations

• Certified Financial Planner
• Chartered Financial Analyst

Other Names

• Arty Finkelberg