Jon P. Arnold

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CRD#: 4299647

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.

Jon Paul Arnold, who also goes by Jon P. Arnold, Jon P. Arnold, was a registered financial professional .

Jon is a previously registered financial professional and started their career in finance in 2001. Jon had worked at 9 firms and has passed the Series 66, Series 63, Series 7TO, Series 6TO, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jon P. Arnold | Jon P. 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.

The advisor shows no other business activity.

Blog Corner

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®

None

Experience

Past

January 2, 2024 - January 5, 2026

ROCKPORT WEALTH ADVISORS

RIA

CRD#: 297122

Youngstown, OH

Past

February 15, 2012 - October 29, 2019

INVESTACORP ADVISORY SERVICES INC

RIA

CRD#: 109011

CANFIELD, OH

Past

February 14, 2012 - July 7, 2020

INVESTACORP, INC.

CRD#: 7684

CANFIELD, OH

Past

December 19, 2011 - April 4, 2024

THE J. ARNOLD WEALTH MANAGEMENT CO., LLC

RIA

CRD#: 159710

YOUNGSTOWN, OH

Past

May 19, 2010 - February 10, 2012

OSAIC SERVICES, INC.

RIA

CRD#: 133763

BOARDMAN, OH

Past

May 5, 2010 - February 10, 2012

OSAIC SERVICES, INC.

CRD#: 133763

BOARDMAN, OH

Past

October 25, 2006 - May 20, 2010

LPL FINANCIAL LLC

RIA

CRD#: 6413

BOARDMAN, OH

Past

March 16, 2006 - May 20, 2010

LPL FINANCIAL LLC

CRD#: 6413

BOARDMAN, OH

Past

February 6, 2004 - March 21, 2006

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

YOUNGSTOWN, OH

Past

May 15, 2002 - March 1, 2004

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

Past

January 16, 2001 - March 5, 2002

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

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".

ROCKPORT WEALTH ADVISORS

J ARNOLD WEALTH MANAGEMENT | ROCKPORT WEALTH, LLC | ROCKPORT WEALTH ADVISORS | ROCKPORT WEALTH

CRD#: 297122 / SEC#: 801-126796

RIA

Registered Investment Advisory firm - (10/27/2022 Approved)

Indiana

Registered Investment Advisory firm - (11/2/2022 Terminated)

Michigan

Registered Investment Advisory firm - (11/21/2022 Terminated)

Ohio

Registered Investment Advisory firm - (11/1/2022 Terminated)

Texas

Registered Investment Advisory firm - (11/1/2022 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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 8/16/2010

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/18/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/28/2024

General Securities Representative Examination

General Industry/Product Exam

Series 6TO

Date: 3/28/2024

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/24/2004

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/15/2001

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/28/2024

General Securities Principal Examination

Current Firm

ROCKPORT WEALTH ADVISORS

J ARNOLD WEALTH MANAGEMENT | ROCKPORT WEALTH, LLC | ROCKPORT WEALTH ADVISORS | ROCKPORT WEALTH

CRD#: 297122 / SEC#: 801-126796

RIA

Registered Investment Advisory firm - (10/27/2022 Approved)

Indiana

Registered Investment Advisory firm - (11/2/2022 Terminated)

Michigan

Registered Investment Advisory firm - (11/21/2022 Terminated)

Ohio

Registered Investment Advisory firm - (11/1/2022 Terminated)

Texas

Registered Investment Advisory firm - (11/1/2022 Terminated)

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Contact information

Main Address

22730 Fairview Center Dr Suite# 150, Fairview Park, OH 44126

Mailing Address

Phone number

(216) 226-4560

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ROCKPORT ADV 2A MARCH 2025 (10/14/2025)

ROCKPORT WRAP FEE BROCHURE 2-12-24 (3/27/2025)

Regulatory assets under management

Total Number of Accounts	2,748
AUM (Assets Under Management)	$ 568,661,117

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

Jon P. Arnold

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

INVESTACORP ADVISORY SERVICES INC

INVESTACORP, INC.

THE J. ARNOLD WEALTH MANAGEMENT CO., LLC

OSAIC SERVICES, INC.

OSAIC SERVICES, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

STIFEL, NICOLAUS & COMPANY, INCORPORATED

NYLIFE SECURITIES LLC

NEW ENGLAND SECURITIES

Primary Firm SEC Registration

ROCKPORT WEALTH ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 8/16/2010

Series 63

Date: 9/18/2004

Series 7TO

Date: 3/28/2024

Series 6TO

Date: 3/28/2024

SIE

Date: 10/1/2018

Series 7

Date: 1/24/2004

Series 6

Date: 1/15/2001

Series 24

Date: 3/28/2024

Current Firm

ROCKPORT WEALTH ADVISORS

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ROCKPORT WEALTH ADVISORS

TRUST BUT VERIFY

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