Stephen C. Arnold

KESTRA ADVISORY SERVICES

Palm Desert, CA

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CRD#: 1178562

Professional summary

Stephen Cutler Arnold is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Palm Desert, California and KESTRA INVESTMENT SERVICES, LLC located in Palm Desert, California.

Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Stephen has worked at 17 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

Business Name: FINANCIAL POINTE POSITION: registered representative NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 10/03/2023 ADDRESS: 3323 Old Conejo Rd, Thousand Oaks CA 91360 DESCRIPTION: registered representative Business Name: KESTRA ADVISORY SERVICES POSITION: IAR NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 60 START DATE: 10/03/2023 ADDRESS: 5707 Southwest Parkway, Bldg 2, suite 400, Austin TX 78735 DESCRIPTION: IAR Business Name: STEPHEN C ARNOLD POSITION: owner NATURE: Insurance INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 03/31/1983 ADDRESS: 78373 Sterling Lane, Palm Desert CA 92211 DESCRIPTION: Selling and servicing insurance clients

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Cutler Arnold's CRS (Customer Relationship Summary).

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

October 3, 2023 - Present

KESTRA ADVISORY SERVICES, LLC

RIA

CRD#: 283330

Palm Desert, CA

Current

October 3, 2023 - Present

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

Palm Desert, CA

Past

September 1, 2023 - October 8, 2023

OSAIC WEALTH, INC.

RIA

CRD#: 23131

NEWBURY PARK, CA

Past

September 1, 2023 - October 8, 2023

OSAIC WEALTH, INC.

CRD#: 23131

NEWBURY PARK, CA

Past

January 10, 2013 - September 1, 2023

OSAIC SERVICES, INC.

RIA

CRD#: 133763

NEWBURY PARK, CA

Past

January 3, 2013 - September 1, 2023

OSAIC SERVICES, INC.

CRD#: 133763

NEWBURY PARK, CA

Past

January 6, 2009 - January 3, 2013

INDEPENDENT FINANCIAL GROUP, LLC

RIA

CRD#: 7717

CAMARILLO, CA

Past

December 11, 2008 - January 3, 2013

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717

CAMARILLO, CA

Past

October 7, 2008 - December 11, 2008

EPLANNING ADVISORS INC

RIA

CRD#: 109184

ROSEVILLE, CA

Past

June 11, 2008 - December 11, 2008

EPLANNING SECURITIES, INC.

CRD#: 46000

CAMARILLO, CA

Past

July 12, 2007 - June 11, 2008

MORGAN PEABODY, INC.

CRD#: 38306

SHERMAN OAKS, CA

Past

October 23, 2002 - July 12, 2007

BROOKSTREET SECURITIES CORPORATION

CRD#: 14667

CAMARILLO, CA

Past

September 28, 2001 - January 21, 2003

CALIFORNIA FINANCIAL NETWORK, INC.

CRD#: 103702

BAKERSFIELD, CA

Past

June 8, 1995 - August 23, 2001

TRANSAMERICA FINANCIAL ADVISORS, INC.

CRD#: 3600

LOS ANGELES, CA

Past

July 10, 1991 - April 13, 1995

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

July 10, 1991 - April 13, 1995

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Past

April 20, 1988 - May 8, 1991

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

February 15, 1988 - May 5, 1988

LEHMAN BROTHERS INC.

CRD#: 7506

Past

April 2, 1984 - February 15, 1988

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

August 29, 1983 - March 30, 1984

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

KESTRA ADVISORY SERVICES, LLC

KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC

CRD#: 283330 / SEC#: 801-56126

RIA

Registered Investment Advisory firm - (12/31/1998 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Arizona
(10/3/2023)

IAR

California
(10/3/2023)

California
(10/4/2023)

Texas
(8/1/2025)

IAR

Texas
(8/1/2025)

Washington
(10/3/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/4/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/28/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 9/9/1983

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 8/20/1983

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

KESTRA ADVISORY SERVICES, LLC

KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC

CRD#: 283330 / SEC#: 801-56126

RIA

Registered Investment Advisory firm - (12/31/1998 Approved)

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Contact information

Main Address

5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735

Mailing Address

Phone number

(844) 553-7872

Established

Firm type

Fiscal year end

# of Employees

1,299

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KESTRA ADVISORY SERVICES, LLC BROCHURE (RETAIL CLIENTS) (10/21/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (WRAP FEE PROGRAM) (10/21/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (PLAN CLIENTS) (10/21/2025)

Regulatory assets under management

Total Number of Accounts	155,482
AUM (Assets Under Management)	$ 60,174,309,829

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/23/2024	Cover Page	Report
10/20/2023	Cover Page	Report
12/21/2022	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Stephen C. Arnold

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Cutler Arnold's CRS (Customer Relationship Summary).

Certified licenses

Experience

KESTRA INVESTMENT SERVICES, LLC

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

OSAIC SERVICES, INC.

OSAIC SERVICES, INC.

INDEPENDENT FINANCIAL GROUP, LLC

INDEPENDENT FINANCIAL GROUP, LLC

EPLANNING ADVISORS INC

EPLANNING SECURITIES, INC.

MORGAN PEABODY, INC.

BROOKSTREET SECURITIES CORPORATION

CALIFORNIA FINANCIAL NETWORK, INC.

TRANSAMERICA FINANCIAL ADVISORS, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

MORGAN STANLEY DW INC.

LEHMAN BROTHERS INC.

E. F. HUTTON & COMPANY INC

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

KESTRA ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/4/2008

Series 63

Date: 10/28/1983

SIE

Date: 10/1/2018

Series 3

Date: 9/9/1983

Series 7

Date: 8/20/1983

FINRA

Current Firm

KESTRA ADVISORY SERVICES, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

KESTRA ADVISORY SERVICES, LLC

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