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RIA / WealthAdvisorCertified Financial Planner35 years in industry

ARTHUR STEIN

Advisor at ALLWORTH FINANCIAL, L.P.

BETHESDA, MD | FOLSOM, CA

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Search this name across graphsid dfx:ria:8b5c7a10-690b-43ec-d4e8-a247c5932ef1

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:43 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Apr 18, 2000 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: ALLWORTH FINANCIAL, L.P.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 19, 1990earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 3
Designations: Certified Financial Planner
Exams: S63|S65
First exam: Nov 19, 1990
First registration: Apr 18, 2000
Dual registered: no
Other names: ART STEIN|ARTHUR STEIN|Arthur Stein
IAPD individual key: 2104896

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
ALLWORTH FINANCIAL, L.P.	Bd affiliated wealth	Jun 1, 2026	n/a	yes	FOLSOM, CA\|BETHESDA, MD	Current employment
ARTHUR STEIN FINANCIAL, LLC	Former SEC adviser	Feb 28, 2012	Jun 25, 2026	no	BETHESDA, MD	Previous registration
SPC FINANCIAL INC	Former SEC adviser	Dec 23, 2009	Mar 1, 2013	no	ROCKVILLE, MD	Previous registration
MML INVESTORS SERVICES, LLC	Bd affiliated wealth	Jan 2, 2008	Dec 15, 2009	no	BETHESDA, MD	Previous registration
PARK AVENUE SECURITIES LLC	Bd affiliated wealth	May 3, 2004	Dec 3, 2007	no	CHEVY CHASE, MD\|BETHESDA, MD	Previous registration
CASSADAY & CO INC	Former SEC adviser	Apr 18, 2000	Apr 12, 2004	no	MCLEAN, VA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
ARTHUR STEIN FINANCIAL, LLC	ALLWORTH FINANCIAL, L.P.	Jun 25, 2026	Jun 1, 2026	-24	Firm change	RIA to ibd
SPC FINANCIAL INC	ARTHUR STEIN FINANCIAL, LLC	Mar 1, 2013	Feb 28, 2012	-367	Firm change after gap	Other
MML INVESTORS SERVICES, LLC	SPC FINANCIAL INC	Dec 15, 2009	Dec 23, 2009	8	Firm change	Other
PARK AVENUE SECURITIES LLC	MML INVESTORS SERVICES, LLC	Dec 3, 2007	Jan 2, 2008	30	Firm change	Other
CASSADAY & CO INC	PARK AVENUE SECURITIES LLC	Apr 12, 2004	May 3, 2004	21	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
160627:111167:MD:2026-06-25	Jun 25, 2026	Jun 1, 2026	BETHESDA, MD	Firm change

Relationships

Registered with (6)

→ ALLWORTH FINANCIAL, L.P.Registered adviserregistration: current employment
Jun 1, 2026 to presentfactForm ADV
→ ARTHUR STEIN FINANCIAL, LLCRegistered adviserregistration: previous registration
Feb 28, 2012 to Jun 25, 2026factForm ADV
→ SPC FINANCIAL INCRegistered adviserregistration: previous registration
Dec 23, 2009 to Mar 1, 2013factForm ADV
→ MML INVESTORS SERVICES, LLCRegistered adviserregistration: previous registration
Jan 2, 2008 to Dec 15, 2009factForm ADV
→ PARK AVENUE SECURITIES LLCRegistered adviserregistration: previous registration
May 3, 2004 to Dec 3, 2007factForm ADV
→ CASSADAY & CO INCRegistered adviserregistration: previous registration
Apr 18, 2000 to Apr 12, 2004factForm ADV

Dated events

Occurred
Jun 25, 2026
Advisor changed firm
Arthur Stein left Arthur Stein Financial, Llc for Allworth Financial, L.P. (registered 2026-06-01)
Form ADVobserved 4 days ago