Robert L. Arnold
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CRD#: 1240901
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Robert Lloyd Arnold, CFP® was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1984. Robert had worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
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.
1) ROBERT L. ARNOLD, INSTRUCTOR POSITION: INSTRUCTOR NATURE: I have been asked by the CEO of Blucora, a local tech company, to teach the Certified Financial Planner courses to their senior management. INVESTMENT RELATED: Yes NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2016 ADDRESS: Sammamish WA 98074, United States DESCRIPTION: Teach Certified Financial Planner courses to Blucora senior management. 2) AUTHOR POSITION: AUTHOR/CO-AUTHOR NATURE: CREATIVE WRITING INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2011 ADDRESS: Sammamish WA 98074, United States DESCRIPTION: WRITING A BOOK OF POETRY 3) RENTAL PROPERTY POSITION: OWNER NATURE: RENTAL REAL ESTATE INVESTMENT RELATED: Yes NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 2/27/2012 DESCRIPTION: PRIMARILY INVOLVED IN PROPERTY SELECTION 4) PACIFIC CREST FINANCIAL SERVICES, LLC POSITION: Advisor NATURE: DBA for Financial Services Entity INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 03/01/2019 ADDRESS: 12506 128th Lane NE, Kirkland WA 98034, United States DESCRIPTION: Referring FA partnered with Brad Jackson. He is providing all of the service for our shared accounts with 1st Global. I have no service responsibility for our shared accounts. 5) FIRST WEALTH CARE, INC. POSITION: CEO NATURE: FINANCIAL SERVICES INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 8 START DATE: 11/15/2016 ADDRESS: 22232 17th Ave SE, Suite 310, Bothell WA 98021-7425, United States DESCRIPTION: Financial Advisor Representative, Securities and Insurance sales. 6) CLUB EARTH POSITION: Director NATURE: This is an organization employing young people who are emerging from the foster care system. INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 10 START DATE: 11/28/2018 ADDRESS: 3040 78th AVE SE, Suite 177, Mercer Island WA 98040, DESCRIPTION: My situation is a bit different. I have a succession plan in place. My clients are being served by Brad Jackson. For the sale of my practice to Brad, we are using a commission split for 5 years. Since Brad, like myself is a one man show, this arrangement gives my client a "back up plan" should anything happen to Brad over the next 5 years. As a result of this arrangement, I have no duties of client service at all. Brad handles everything. My involvement with Club Earth will not impact my financial planning practice since I am in effect, on sabbatical. I will be directing the hiring an supervising the young people. We will be providing service jobs such as landscaping and window washing. 7) ROBERT ARNOLD POSITION: Owner NATURE: Preparing business and personal tax returns INVESTMENT RELATED: No NUMBER OF HOURS: 17 SECURITIES TRADING HOURS: 4 START DATE: 03/15/2022 ADDRESS: 5525 Bridgeport Way W #C, University Place WA 98467-2008, United States DESCRIPTION: Meet with clients and collect tax data and then prepare tax returns 8) ON-LINE BOOKSTORE POSITION: Owner NATURE: In January of 2023 I would like to start an on-line bookstore. I would operate this business from my home and only do it evenings and weekends INVESTMENT RELATED: No NUMBER OF HOURS: 12 SECURITIES TRADING HOURS: 0 START DATE: 01/02/2023 ADDRESS: 5525 Bridgeport Way West, University Place WA 98467, United States DESCRIPTION: I would choose the books to list on a website and sell over the internet 9) RENTAL PROPERTY-1; OWNER; RENTAL REAL ESTATE; NIR; 0; PRIMARILY INVOLVED IN PROPERTY SELECTION 10) First Wealth Care, Inc.; CEO; FINANCIAL SERVICES; IR; 8; 11/15/2016; 22232 17th Ave SE, Suite 310 Bothell WA 98021-7425; Financial Advisor Representative, Securities and Insurance sales.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2000
Experience
Past
October 25, 2019 - July 21, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
BOTHELL, WA
Past
October 25, 2019 - July 21, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
BOTHELL, WA
Past
February 2, 2011 - December 31, 2014
BTS FINANCIAL SERVICES, INC.
RIA
CRD#: 149377
MERCER ISLAND, WA
Past
July 8, 2003 - October 25, 2019
1ST GLOBAL ADVISORS INC
RIA
CRD#: 111133
BOTHELL, WA
Past
July 8, 2003 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
BOTHELL, WA
Past
March 21, 1990 - July 8, 2003
WADDELL & REED
RIA
CRD#: 866
BELLEVUE, WA
Past
February 24, 1984 - July 8, 2003
WADDELL & REED
BD
CRD#: 866
OVERLAND PARK, KS
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
AA
AVANTAX ADVISORY SERVICES
1ST GLOBAL ADVISORY SERVICES | HD VEST ADVISORY SERVICES | H.D. VEST ADVISORY SERVICES, INC | AVANTAX WEALTH MANAGEMENT | AVANTAX ADVISORY SERVICES, INC. | AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
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Contact information
Main Address
3200 Olympus Blvd Suite 100, Dallas, TX 75019
Mailing Address
Phone number
(972) 870-6000
Established
Firm type
Fiscal year end
# of Employees
2,278
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 | ||
| 12/16/2022 |
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.
