Arthur Stein

ARTHUR STEIN FINANCIAL

Bethesda, MD 20817

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CRD#: 2104896

Professional summary

Arthur Stein III, CFP®, who also goes by Art Stein III, is a registered financial advisor currently at ARTHUR STEIN FINANCIAL, LLC located in Bethesda, Maryland.

Arthur is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. Arthur has worked at 9 firms and has passed the Series 65, Series 63, Series 7, Series 62, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Art Stein Iii

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. ART STEIN PHOTOGRAHY:NOT INVESTMENT RELATED:3/2010-PRESENT:BETHESDA, MD:INDEPENDENT CONTRACTOR:PHOTOGRAPHY:1 HR/WK:0 HRS DURING TRADING:SELL STOCK PHOTOGRAPHY AND OCCASIONALLY TAKE PHOTOGRAPHS. 2.SELF EMPLOYED SPEAKER FOR ADULT EDUCATION CLASSES,7212 TAVESHIRE WAY, BETHESDA MD 20817, PAID TO SPEAK AT SEMINARS. W2 EMPLOYEE: ARLINGTON AND ALEXANDRIA ADULT EDUCATION DEPARTMENTS AND MONTGOMERY COLLEGE NIGHT SCHOOL. 1099 PAYMENTS FROM NATIONAL INSTITUTE OF TRANSITION PLANNING AND PAN, INC. TOPICS INCLUDE RETIREMENT PLANNING AND INCOME AND LONG-TERM CARE INSURANCE, STARTED 1997. 3.NON-VARIABLE INSURANCE:INVESTMENT RELATED:07/2010-PRESENT:ROCKVILLE, MD:INDEPENDENT CONTRACTOR:INSURANCE:15 HRS/WK:15 HRS DURING TRADING:SELL INSURANCE AS A BROKER. 4.ARTHUR STEIN CONDUCTS WORKSHOPS ON VARIOUS INVESTMENT AND FINANCIAL PLANNING TOPICS FOR THE ADULT EDUCATION DEPARTMENTS OF ARLINGTON COUNTY AND MONTGOMERY COLLEGE, AMONG OTHER GROUPS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Arthur Stein III'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®

CFP^®

Certified Financial Planner

Start date: 1993

Experience

Current

February 28, 2012 - Present

ARTHUR STEIN FINANCIAL, LLC

Office #1: 6701 Democracy Blvd. Suite 300, Bethesda, MD 20817

RIA

CRD#: 160627

Bethesda, MD

Past

December 23, 2009 - March 1, 2013

SPC FINANCIAL INC

RIA

CRD#: 104618

ROCKVILLE, MD

Past

December 9, 2009 - January 30, 2012

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ROCKVILLE, MD

Past

January 2, 2008 - December 15, 2009

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

BETHESDA, MD

Past

December 14, 2007 - December 15, 2009

MML INVESTORS SERVICES, LLC

CRD#: 10409

BETHESDA, MD

Past

May 3, 2004 - December 3, 2007

PARK AVENUE SECURITIES LLC

RIA

CRD#: 46173

BETHESDA, MD

Past

April 23, 2004 - December 3, 2007

PARK AVENUE SECURITIES LLC

CRD#: 46173

BETHESDA, MD

Past

April 18, 2000 - April 12, 2004

CASSADAY & CO INC

RIA

CRD#: 106566

MCLEAN, VA

Past

March 22, 2000 - April 5, 2004

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

September 16, 1993 - March 23, 2000

CAPITOL SECURITIES MANAGEMENT, INC.

CRD#: 14169

GLEN ALLEN, VA

Past

November 7, 1990 - September 13, 1993

MONEY CONCEPTS CAPITAL CORP

CRD#: 12963

PALM BEACH GARDENS, FL

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".

ARTHUR STEIN FINANCIAL, LLC

ARTHUR STEIN FINANCIAL, LLC | STEIN III, ARTHUR

CRD#: 160627 / SEC#: 801-131069

RIA

Registered Investment Advisory firm - (9/6/2024 Approved)

District of Columbia

Registered Investment Advisory firm - (9/16/2024 Terminated)

Maryland

Registered Investment Advisory firm - (3/26/2025 Terminated)

Texas

Registered Investment Advisory firm - (9/16/2024 Terminated)

Virginia

Registered Investment Advisory firm - (9/17/2024 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).

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

District of Columbia
(8/17/2012)

IAR

Maryland
(2/28/2012)

IAR

Texas
(12/22/2020)

IAR

Virginia
(6/4/2012)

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 65

Date: 6/12/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/19/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/6/2005

General Securities Representative Examination

General Industry/Product Exam

Series 62

Date: 6/17/1991

Corporate Securities Limited Representative Examination

General Industry/Product Exam

Series 22

Date: 12/17/1990

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 11/6/1990

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ARTHUR STEIN FINANCIAL, LLC

ARTHUR STEIN FINANCIAL, LLC | STEIN III, ARTHUR

CRD#: 160627 / SEC#: 801-131069

RIA

Registered Investment Advisory firm - (9/6/2024 Approved)

District of Columbia

Registered Investment Advisory firm - (9/16/2024 Terminated)

Maryland

Registered Investment Advisory firm - (3/26/2025 Terminated)

Texas

Registered Investment Advisory firm - (9/16/2024 Terminated)

Virginia

Registered Investment Advisory firm - (9/17/2024 Terminated)

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Contact information

Main Address

6701 Democracy Blvd. Suite 300, Bethesda, MD 20817

Mailing Address

Phone number

(301) 377-9407

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ASF DISCLOSURE BROCHURE & BROCHURE SUPPLEMENT (3/27/2025)

Regulatory assets under management

Total Number of Accounts	271
AUM (Assets Under Management)	$ 116,280,172

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

Arthur Stein

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Arthur Stein III's CRS (Customer Relationship Summary).

Certified licenses

Experience

SPC FINANCIAL INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

PARK AVENUE SECURITIES LLC

PARK AVENUE SECURITIES LLC

CASSADAY & CO INC

OSAIC WEALTH, INC.

CAPITOL SECURITIES MANAGEMENT, INC.

MONEY CONCEPTS CAPITAL CORP

Primary Firm SEC Registration

ARTHUR STEIN FINANCIAL, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/12/1992

Series 63

Date: 11/19/1990

Series 7

Date: 9/6/2005

Series 62

Date: 6/17/1991

Series 22

Date: 12/17/1990

Series 6

Date: 11/6/1990

Current Firm

ARTHUR STEIN FINANCIAL, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ARTHUR STEIN FINANCIAL, LLC

TRUST BUT VERIFY

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