Stephen R. Arnold

STOREHOUSE ADVISORY GROUP

Knoxville, TN

Some features on this profile are disabled

CRD#: 2912750

Professional summary

Stephen Ray Arnold, who also goes by Steve Arnold, is a registered financial advisor currently at STOREHOUSE ADVISORY GROUP located in Knoxville, Tennessee.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Stephen has worked at 4 firms and has passed the Series 63, Series 65, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Steve 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.

VARIOUS INSURANCE COMPANY APPOINTMENTS-NOT INVESTMENT RELATED-FROM 7/2006 TO PRESENT-10-15 HRS PER WK. SALES OF LIFE, HEALTH, DISABILITY, FIXED ANNUITIES AND LONG-TERM CARE INSURANCE PRODUCTS THROUGH MAXX FINANCIAL, 4340 18TH AVE SOUTH FARGO, ND 58103, SUNDERLAND GROUP, 2102 GREAT NORTHERN DR, FARGO, ND 58102, AND MILLENIUM MARKETING GROUP, 10842 OLD MILL RD, STE 6, OMAHA, NE 68154.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Ray 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®

None

Experience

Current

January 3, 2018 - Present

STOREHOUSE ADVISORY GROUP

RIA

CRD#: 147449

Knoxville, TN

Past

August 11, 2008 - December 31, 2016

STOREHOUSE ADVISORY GROUP

RIA

CRD#: 147449

KNOXVILLE, TN

Past

October 25, 2007 - June 3, 2008

CAPITAL FINANCIAL SERVICES, INC.

RIA

CRD#: 8408

KNOXVILLE, TN

Past

October 25, 2007 - June 3, 2008

CAPITAL FINANCIAL SERVICES, INC.

CRD#: 8408

KNOXVILLE, TN

Past

November 16, 2006 - October 26, 2007

THRIVENT INVESTMENT MANAGEMENT INC.

RIA

CRD#: 18387

KNOXVILLE, TN

Past

November 7, 2006 - October 26, 2007

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

KNOXVILLE, TN

Past

August 27, 1997 - October 16, 1998

INVEST FINANCIAL CORPORATION

CRD#: 12984

APPLETON, WI

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

Tennessee
(1/3/2018)

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

Series 63

Date: 11/14/2006

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 3/20/2006

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 11/6/2006

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/26/1997

Investment Company Products/Variable Contracts Representative Examination

Current Firm

STOREHOUSE ADVISORY GROUP

ARNOLD, STEPHEN RAY | STOREHOUSE ADVISORY GROUP | STEPHEN R ARNOLD DBA STOREHOUSE ADVISORY GROUP

CRD#: 147449 / SEC#:

Tennessee

Registered Investment Advisory firm - (1/3/2018 Approved)

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

Knoxville, TN

Mailing Address

Phone number

(865) 850-6529

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	4
AUM (Assets Under Management)	$ 1,545,024

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Stephen R. Arnold

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

STOREHOUSE ADVISORY GROUP

CAPITAL FINANCIAL SERVICES, INC.

CAPITAL FINANCIAL SERVICES, INC.

THRIVENT INVESTMENT MANAGEMENT INC.

THRIVENT INVESTMENT MANAGEMENT INC.

INVEST FINANCIAL CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 11/14/2006

Series 65

Date: 3/20/2006

Series 7

Date: 11/6/2006

Series 6

Date: 8/26/1997

Current Firm

STOREHOUSE ADVISORY GROUP

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

STOREHOUSE ADVISORY GROUP

TRUST BUT VERIFY

Similar Advisors