Jonathan S. Steffey
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.
Jonathan Scott Steffey, CFP®, who also goes by Jon Steffey, Jonathan S Steffey, was a registered financial professional .
Jonathan is a previously registered financial professional and started their career in finance in 1991. Jonathan had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 22 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 28, 2022 - February 28, 2022
FROST INVESTMENT SERVICES
March 28, 2018 - December 31, 2021
FROST INVESTMENT SERVICES
March 28, 2018 - February 28, 2022
FROST BROKERAGE SERVICES, INC.
September 2, 2010 - March 16, 2018
ADVISORS ASSET MANAGEMENT, INC.
September 1, 2010 - March 16, 2018
ADVISORS ASSET MANAGEMENT, INC.
January 8, 2008 - June 24, 2009
VALIC FINANCIAL ADVISORS, INC.
January 8, 2008 - June 24, 2009
VALIC FINANCIAL ADVISORS, INC.
February 28, 2007 - December 21, 2007
CITIGROUP GLOBAL MARKETS INC.
February 28, 2007 - December 21, 2007
CITIGROUP GLOBAL MARKETS INC.
January 23, 2006 - January 31, 2007
CUSO FINANCIAL SERVICES, L.P.
January 23, 2006 - January 31, 2007
CUSO FINANCIAL SERVICES, L.P.
March 1, 2004 - February 10, 2006
FROST BROKERAGE SERVICES, INC.
January 7, 2004 - February 27, 2004
USAA FINANCIAL ADVISORS, INC.
May 17, 1999 - March 1, 2004
USAA FINANCIAL PLANNING SERVICES
September 10, 1993 - December 31, 2003
USAA INVESTMENT SERVICES COMPANY
April 20, 1993 - February 18, 1994
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
August 28, 1991 - December 31, 1991
TRADEPORTAL SECURITIES, INC.
Primary Firm SEC Registration
FROST INVESTMENT SERVICES
CRD#: 286129 / SEC#: 801-108754
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
FROST INVESTMENT SERVICES
CRD#: 286129 / SEC#: 801-108754
Contact information
SEC notice filing (28 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,179 |
| AUM (Assets Under Management) | $ 2,976,654,932 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/10/2024 | ||
| 11/27/2023 | ||
| 12/21/2022 |
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.
