Stephen P. Arnold

TEXAS INSTITUTIONAL INVESTMENT MANAGEMENT

San Antonio, TX 78209

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CRD#: 3069648

Professional summary

Stephen Paul Arnold is a registered financial advisor currently at TEXAS INSTITUTIONAL INVESTMENT MANAGEMENT, LLC located in San Antonio, Texas.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Stephen has worked at 4 firms and has passed the Series 65, Series 63, Series 7 and Series 6 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Paul 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

March 27, 2006 - Present

TEXAS INSTITUTIONAL INVESTMENT MANAGEMENT, LLC

Office #1: 1100 Northeast Loop 410 Suite 300, San Antonio, TX 78209

RIA

CRD#: 131300

San Antonio, TX

Past

March 11, 2004 - July 15, 2004

VAQUERO INVESTMENT MANAGEMENT COMPANY, INC.

RIA

CRD#: 125622

SAN ANTONIO, TX

Past

November 23, 2001 - July 15, 2004

SOUTHWESTERN CAPITAL MARKETS, INC.

CRD#: 15011

SAN ANTONIO, TX

Past

August 31, 1998 - December 31, 1998

ARK FUNDS DISTRIBUTORS, LLC

CRD#: 17685

PORTLAND, ME

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

Texas
(3/27/2006)

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: 9/4/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/28/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/21/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/28/1998

Investment Company Products/Variable Contracts Representative Examination

Current Firm

TEXAS INSTITUTIONAL INVESTMENT MANAGEMENT, LLC

CRD#: 131300 / SEC#:

Texas

Registered Investment Advisory firm - (4/29/2004 Approved)

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Contact information

Main Address

1100 Northeast Loop 410 Suite 300, San Antonio, TX 78209

Mailing Address

Phone number

(210) 490-2200

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	81
AUM (Assets Under Management)	$ 79,315,063

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Stephen P. Arnold

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

TEXAS INSTITUTIONAL INVESTMENT MANAGEMENT, LLC

VAQUERO INVESTMENT MANAGEMENT COMPANY, INC.

SOUTHWESTERN CAPITAL MARKETS, INC.

ARK FUNDS DISTRIBUTORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/4/2001

Series 63

Date: 8/28/1998

Series 7

Date: 6/21/2000

Series 6

Date: 8/28/1998

Current Firm

TEXAS INSTITUTIONAL INVESTMENT MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

TEXAS INSTITUTIONAL INVESTMENT MANAGEMENT, LLC

TRUST BUT VERIFY

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