Financial Planning—It Should Be Personal

The Manager of one of Raymond James executive council level branches credits his father, a tuxedo shop-owner in Yonkers, New York for his success. Arthur Rottenstein, a Raymond James Registered Securities Principal serving Boca Raton, learned important life lessons from his father, who owned the popular clothing shop, and his mother, a lifelong advocate for the less fortunate. A survivor of the Nazi Holocaust, his father’s horrific experience did not diminish his benevolence; he genuinely cared about his customers and connected with them easily.

Mr. Rottenstein began his lengthy career in finance in 1982, moved his practice to Boca Raton in 1991. Generally, his clients are affluent families and business owners.

“I keep my book of business to a manageable level. It’s all-important to me to know we provide our clients high quality and dedicated personal service and demonstrate that we genuinely care. Advisors who try to work with 500 to 600 and more investors at one time can’t possibly keep up with their clients’ changing financial lives and family dynamics,” says Rottenstein.

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Genuine Compassion,Remarkable Creativity

Like father, like son, Mr. Rottenstein has instilled many of the same traits in his team. In recruiting professionals to his practice, he first and foremost seeks out thosewho share his commitment to client care, like Joseph Carpenito, a young man he hired and has trained for about 10 years. “My primary concern is ensuring my clients will be well-served for decades and generations ahead,” he says.

Rottenstein, Carpenito, and the rest of theBoca Raton Financial Planners team take anindividualized approach to retirement planning,estate planning, money management, and more. As fee-only advisers, they tailor plans and strategies for each individual, taking into account foreseen risks while considering the unexpected. “Each client has the advantage of our collective experience and training, explains Rottenstein. “This collaborative approach allows us to find creative solutions.” Rottenstein and his team also manage client accounts to help minimize tax burdens and capitalize on market opportunities.

The group is well respected for their work in the area of estate planning. “Creativity is key,” says Rottenstein, who has worked with family owned businesses, and helped with various aspects such as transitions, and business sales. “The use of trusts and other strategies helps ensure a client’s assets are passed down to heirs in accordance with the client’s wishes, while minimizing tax obligations to the extent possible.

Despite their focus on a manageable book of business rather than seeking high volume, Boca Raton Financial Planners is ranked in the top 23 percent of Raymond James branches nationwide as of April 2019 and Mr. Rottenstein was included in the Executive Council* of Raymond James four out of the last five years.

“We’re very proud of our track record of success,” says Rottenstein.“But above all, developing strong client relationships and satisfactionis and will always be our priority.”

Arthur Rottenstein is a Registered Securities Principal and Branch Manager with Raymond James Financial Services, Inc. in Boca Raton and founder of Portfoliorepair.com. He has been managing the financial affairs of a number of select families in South Florida since 1982. Please feel free to call for an appointment at (561) 241-6616 or email him at arthur.rottenstein@raymondjames.com. Please feel free to visit hiswebsite at bocaratonfinancialplanner.com. Securities offered through Raymond James Financial Services, Inc., member FINRA/SIPC. Investment Advisory services offered through Raymond James Financial Services Advisors, Inc.

*Membership is based on prior fiscal year production. Re-qualification is required annually. The ranking may not be representative of any one client’s experience, is not an endorsement, and is not indicative of advisors future performance. No fee is paid in exchange for this award/rating. Investing involves risk and investors may incur a profit or a loss. This material is being provided for information purposes only and is not a complete description, nor is it a recommendation. Any opinions are those of the author and not necessarily those of Raymond James. You should discuss any tax or legal matters with the appropriate professional.

Raymond James is not affiliated with Financial Service Directory, Kiplinger, or any of the organizations listed above.

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