James M. Arnold

ARNOLD INSURANCE & FINANCIAL SERVICES

Cocoa, FL 32922

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CRD#: 1755052

Professional summary

James Michael Arnold, CFP®, who also goes by Mike Arnold, is a registered financial advisor currently at ARNOLD INSURANCE & FINANCIAL SERVICES, LLC located in Cocoa, Florida.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. James has worked at 6 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mike Arnold

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.

Insurance Producer/Agent for life, health, variable annuity, and general property & casualty with various insurance companies / 511 Delannoy Ave. Unit 2, Cocoa, FL 32922. Spends approximately 10% of time with this activity. Licenses obtained 1987-1988.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Michael Arnold'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®

CFP^®

Certified Financial Planner

Start date: 2001

Experience

Current

September 16, 2015 - Present

ARNOLD INSURANCE & FINANCIAL SERVICES, LLC

Office #1: 511 Delannoy Ave. Unit 2, Cocoa, FL 32922

RIA

CRD#: 269890

Cocoa, FL

Past

August 23, 2006 - October 2, 2015

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

COCOA, FL

Past

August 4, 2006 - October 2, 2015

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

COCOA, FL

Past

November 1, 2005 - August 7, 2006

OSAIC SERVICES, INC.

RIA

CRD#: 133763

MELBOURNE, FL

Past

October 31, 2005 - August 7, 2006

OSAIC SERVICES, INC.

CRD#: 133763

MELBOURNE, FL

Past

August 1, 2005 - October 31, 2005

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

February 7, 2003 - August 2, 2005

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

MERRITT ISLAND, FL

Past

February 5, 1988 - August 2, 2005

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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.

Highlighted states indicate IAR registrations

IAR

Florida
(9/16/2015)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/3/2003

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/2/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/31/2002

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/4/1988

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ARNOLD INSURANCE & FINANCIAL SERVICES, LLC

ARNOLD INSURANCE & FINANCIAL SERVICES, LLC | ARNOLD INSURANCE AND FINANCIAL SERVICES, LLC

CRD#: 269890 / SEC#:

Florida

Registered Investment Advisory firm - (9/16/2015 Approved)

Texas

Registered Investment Advisory firm - (12/31/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

511 Delannoy Ave. Unit 2, Cocoa, FL 32922

Mailing Address

Phone number

(321) 636-5858

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	299
AUM (Assets Under Management)	$ 46,300,424

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

James M. Arnold

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Michael Arnold's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT ADVISERS LLC

CETERA FINANCIAL SPECIALISTS LLC

OSAIC SERVICES, INC.

OSAIC SERVICES, INC.

SUNAMERICA SECURITIES, INC.

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

State Registrations and Notice Filings

Exams

Series 66

Date: 2/3/2003

SIE

Date: 10/2/2015

Series 7

Date: 1/31/2002

Series 6

Date: 2/4/1988

Current Firm

ARNOLD INSURANCE & FINANCIAL SERVICES, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ARNOLD INSURANCE & FINANCIAL SERVICES, LLC

TRUST BUT VERIFY

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