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ARTHUR STEVEN ROTTENSTEIN
CRD#: 1034285
IA
Investment Adviser
B
Broker
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCCRD#: 149018 301 YAMATO ROAD
SUITE 3160
BOCA RATON, FL 33431
RAYMOND JAMES FINANCIAL SERVICES, INC.CRD#: 6694 301 YAMATO ROAD
SUITE 3160
BOCA RATON, FL 33431
Registration History
198519901995200020052010201520202025IARAYMOND JAMES FINANCIAL SERVIC... (CRD# 149018)2009 - Present (15 years)BRAYMOND JAMES FINANCIAL SERVIC... (CRD# 6694)2002 - Present (22 years)BAMERICAN INVESTMENT SERVICES, INC. (CRD# 21111)1997 - 2002 (4 years)BFIRST SECURITY INVESTMENTS, INC. (CRD# 24035)1996 - 1997 (<1 year)BPCM SECURITIES LIMITED, L.P. (CRD# 28761)1995 - 1996 (<1 year)BYANKEE FINANCIAL GROUP, INC. (CRD# 17966)1990 - 1994 (3 years)BPRUDENTIAL-BACHE SECURITIES INC. (CRD# 7471)1989 - 1990 (1 year)BTHOMSON MCKINNON SECURITIES INC. (CRD# 829)1988 - 1989 (1 year)BPAINEWEBBER INCORPORATED (CRD# 8174)1986 - 1988 (2 years)BDAVID LERNER ASSOCIATES, INC. (CRD# 5397)1982 - 1986 (3 years)IARAYMOND JAMES FINANCIAL SERVICES (CRD# 6694)2002 - 2009 (7 years)
Disclosure(s)
View By:
6/1/1988
Customer Dispute
Settled
License(s)

State Registrations

B
Alabama 4/5/2017

B
Missouri 3/8/2016

B
Arizona 2/27/2018

B
Nebraska 4/13/2018

B
Arkansas 4/4/2017

B
Nevada 11/2/2021

B
California 1/2/2004

B
New Jersey 3/15/2002

B
Colorado 8/23/2007

B
New York 3/15/2002

B
Connecticut 5/10/2012

B
North Carolina 2/14/2013

B
Delaware 1/23/2013

B
Ohio 2/16/2018

B
District of Columbia 2/15/2013

B
Oklahoma 10/16/2013

B
Florida 3/20/2002

B
Oregon 5/7/2021

IA
Florida 10/23/2009

B
Pennsylvania 2/15/2013

B
Georgia 7/14/2005

B
Rhode Island 10/4/2023

B
Illinois 1/25/2010

B
South Carolina 7/27/2020

B
Indiana 9/5/2014

B
Tennessee 9/5/2014

B
Kansas 10/7/2019

B
Texas 9/15/2014

B
Kentucky 9/18/2018

IA
Texas 12/20/2021

B
Louisiana 10/13/2014

B
Vermont 5/17/2017

B
Maine 11/17/2022

B
Virginia 2/19/2013

B
Maryland 3/7/2003

B
Washington 8/16/2016

B
Massachusetts 1/3/2011

B
West Virginia 5/9/2024

B
Michigan 2/26/2013

B
Wisconsin 2/20/2013

B
Minnesota 8/11/2011

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC (CRD#:149018)
301 YAMATO ROAD SUITE 3160, BOCA RATON, FL 33431
Registered with this firm since 10/23/2009

B
RAYMOND JAMES FINANCIAL SERVICES, INC. (CRD#:6694)
301 YAMATO ROAD SUITE 3160, BOCA RATON, FL 33431
Registered with this firm since 3/15/2002

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
03/20/2002 - 11/10/2009 RAYMOND JAMES FINANCIAL SERVICES (CRD#:6694) CORAL SPRINGS, FL
B
06/25/1997 - 04/17/2002 AMERICAN INVESTMENT SERVICES, INC. (CRD#:21111)
FINRA expelled the firm on 02/13/2003
OKLAHOMA CITY, OK
B
07/22/1996 - 02/13/1997 FIRST SECURITY INVESTMENTS, INC. (CRD#:24035) KINGSTON, PA
B
07/14/1995 - 06/28/1996 PCM SECURITIES LIMITED, L.P. (CRD#:28761) GREEN ACRES, FL
B
12/14/1990 - 11/28/1994 YANKEE FINANCIAL GROUP, INC. (CRD#:17966)
FINRA expelled the firm on 08/04/2006
MELVILLE, NY
B
09/15/1989 - 12/06/1990 PRUDENTIAL-BACHE SECURITIES INC. (CRD#:7471) NEW YORK, NY
B
06/07/1988 - 09/15/1989 THOMSON MCKINNON SECURITIES INC. (CRD#:829) NEW YORK, NY
B
06/12/1986 - 06/28/1988 PAINEWEBBER INCORPORATED (CRD#:8174)
B
09/02/1982 - 06/16/1986 DAVID LERNER ASSOCIATES, INC. (CRD#:5397)
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B
Broker
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Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.