Stephen L. Day

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CRD#: 1121268

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.

Stephen Logan Day was a registered financial professional .

Stephen is a previously registered financial professional and started their career in finance in 1983. Stephen had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

(1)Name of Business: Day, Lu Jean Address: 6113B 14th Ave NW, Seattle, WA, 98107, United States Activity Type: Control Person Position/Title: Executor (Acting) Investment Related: Yes Start Date: 02/11/2021 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: My mother passed away on 12/23/2023, so now I am the Executor of her estate, per her will. (2) Name of Business: Baker Day LLC Address: 11400 SE 8th St Ste 265, Bellevue, WA, 98004, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 12/03/2018 Hours per month devoted to this business: 11-20 Hours per month devoted to this business during trading hours: 11-20 Description of duties: DBA for Raymond James business

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

December 3, 2018 - August 18, 2025

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

Bellevue, WA

Past

December 3, 2018 - August 18, 2025

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

BELLEVUE, WA

Past

March 25, 2017 - December 5, 2018

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

BELLEVUE, WA

Past

March 25, 2017 - December 5, 2018

MML INVESTORS SERVICES, LLC

CRD#: 10409

BELLEVUE, WA

Past

November 3, 2003 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

BELLEVUE, WA

Past

November 3, 2003 - July 9, 2007

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

BELLEVUE, WA

Past

November 3, 2003 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

BELLEVUE, WA

Past

January 10, 2000 - April 1, 2004

NEW ENGLAND SECURITIES

RIA

CRD#: 615

BELLEVUE, WA

Past

February 25, 1987 - April 1, 2004

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Past

October 18, 1983 - February 24, 1987

MML INVESTORS SERVICES, LLC

CRD#: 10409

Past

July 7, 1983 - February 25, 1987

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY

CRD#: 2682

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".

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

MARY ELIZABETH HAAS | RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | RAYMOND JAMES ADVISORY SERVICES

CRD#: 149018 / SEC#: 801-69815

RIA

Registered Investment Advisory firm - (12/23/2008 Approved)

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 65

Date: 9/21/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/28/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/18/2005

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 10/16/1989

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 7/6/1983

Investment Company Products/Variable Contracts Representative Examination

Current Firm

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

MARY ELIZABETH HAAS | RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | RAYMOND JAMES ADVISORY SERVICES

CRD#: 149018 / SEC#: 801-69815

RIA

Registered Investment Advisory firm - (12/23/2008 Approved)

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Contact information

Main Address

880 Carillon Parkway, Saint Petersburg, FL 33716

Mailing Address

Phone number

(727) 567-3020

Established

Firm type

Fiscal year end

# of Employees

6,727

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC. WRAP BROCHURE (6/30/2025)

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC. FIRM BROCHURE (6/30/2025)

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	Cover Page	Report
08/21/2024	Cover Page	Report
09/27/2023	Cover Page	Report

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Stephen L. Day

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

RAYMOND JAMES FINANCIAL SERVICES, INC.

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

MSI FINANCIAL SERVICES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

NEW ENGLAND SECURITIES

NEW ENGLAND SECURITIES

MML INVESTORS SERVICES, LLC

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY

Primary Firm SEC Registration

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/21/1999

Series 63

Date: 6/28/1983

SIE

Date: 10/1/2018

Series 7

Date: 1/18/2005

Series 22

Date: 10/16/1989

Series 6

Date: 7/6/1983

Current Firm

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

TRUST BUT VERIFY

Contact information

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