AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Why Advisor Check
SR

Steven G. Rubenstein

ARROW INVESTMENTS
Rye Brook, NY 10573
Some features on this profile are disabled
CRD#: 1164171
SR

Professional summary


Steven Gary Rubenstein is a registered financial professional currently at ARROW INVESTMENTS, INC. located in Rye Brook, New York.

Steven is registered as a RR (Registered Representative) and started their career in finance in 1985. Steven has worked at 4 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 50, Series 7, Series 54 and Series 24 exams.

top-8-questions

Question & Answer


Are you a "fiduciary"?
No

Aliases


None

Other business activities


Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner


CRS (Client Relationship Summary) - BD


Click below to view Steven Gary Rubenstein's CRS (Customer Relationship Summary).

Certified licenses


Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience


Current

December 21, 1998 - Present

ARROW INVESTMENTS, INC.

Office #1: 111 South Ridge Street, Rye Brook, NY 10573Office #2: 111 South Ridge Street Suite 201, Rye Brook, NY 10573
BD
CRD#: 45936
Rye Brook, NY
Past

February 13, 1998 - May 26, 1998

PARTHENON L.P.

BD
CRD#: 40818
SAN FRANCISCO, CA
Past

September 14, 1995 - December 10, 1998

ENDATUM SECURITIES, INC.

BD
CRD#: 23734
SAN DIEGO, CA
Past

February 21, 1985 - October 9, 1987

DREXEL BURNHAM LAMBERT INCORPORATED

BD
CRD#: 7323

State Registrations and Notice Filings


Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Connecticut
(5/1/2000)
RR
New Jersey
(7/18/2000)
RR
New York
(8/31/1998)

Exams


State Security Law Exam
IAR
Series 65
Date: 12/15/2016
Uniform Investment Adviser Law Examination
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA

Current Firm


AI
ARROW INVESTMENTS, INC.
ARROW INVESTMENTS, INC.

CRD#: 45936 / SEC#: , 8-51250

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information


Main Address
111 South Ridge Street Suite 201, Rye Brook, NY 10573
Mailing Address
111 South Ridge Street Suite 201, Rye Brook, NY 10573
Phone number
(914) 251-1084
Established
New York since 06/30/1998
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)


Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents


Direct owners and executive officers


NamePositionCRD#
ROGERS, KENNETH GORDONPRESIDENT, TREASURER, GSP, CHIEF COMPLIANCE OFFICER, AML COMPLIANCE OFFICER, DIRECTOR3024184
RUBENSTEIN, STEVEN GARYCHAIRMAN, SECRETARY, GSP, DIRECTOR, CEO1164171
GEORGE, KENNETH RONALDFINOP2643369

Red Flags


Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information


ARROW INVESTMENTS, INC.

CRD#: 45936Rye Brook, NY 10573

TRUST BUT VERIFY

Monitor Steven Rubenstein

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors


Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Brian Joseph Marchini
Brian MarchiniAdvisorCheck Check Mark
LPL ENTERPRISE, LLC
IAR
RR
White Plains, NY
Philip David Meese
Philip MeeseAdvisorCheck Check Mark
AE WEALTH MANAGEMENT, LLC
IAR
Darien, CT
footer-logo

AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics