Steven P. Reznik
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.
Steven Paul Reznik, who also goes by Steven Paul Reznick, Steve Reznik, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1982. Steven had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2009 - July 30, 2018
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
January 17, 1991 - October 13, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 24, 1989 - July 30, 2018
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 26, 1989 - August 11, 1992
NATIONWIDE INVESTMENT SERVICES CORPORATION
January 19, 1988 - November 1, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
January 19, 1983 - January 28, 1988
MORGAN STANLEY DW INC.
December 9, 1982 - December 13, 1982
METROPOLITAN LIFE INSURANCE COMPANY
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
