Stephen P. Florio

ROSSBY FINANCIAL

MELBOURNE, FL 32901

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CRD#: 1186577

Professional summary

Stephen Paul Florio, who also goes by Flo Florio, Florio Paul Stephen, is a registered financial advisor currently at ROSSBY FINANCIAL, LLC located in Melbourne, Florida.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Stephen has worked at 10 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Flo Florio | Florio Paul Stephen

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) Downtown Harbor Church; Non Investment-Related; Ft. Lauderdale, FL; Church; Board Trustee; 3/2015; 6 hrs/mo; 0 hrs/mo during securities trading hours; Duties are an overview of church personnel and activities, but no finances.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Paul Florio's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

April 29, 2024 - Present

ROSSBY FINANCIAL, LLC

Office #1: 2412 Irwin Street, Melbourne, FL 32901

RIA

CRD#: 324631

MELBOURNE, FL

Past

October 26, 2018 - April 26, 2023

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

Fort Lauderdale, FL

Past

October 10, 2018 - April 26, 2023

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

Fort Lauderdale, FL

Past

June 23, 2015 - August 31, 2018

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

FT. LAUDERDALE, FL

Past

June 19, 2015 - August 31, 2018

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

FT. LAUDERDALE, FL

Past

June 1, 2009 - July 9, 2015

MORGAN STANLEY

RIA

CRD#: 149777

FT. LAUDERDALE, FL

Past

June 1, 2009 - July 9, 2015

MORGAN STANLEY

CRD#: 149777

FT. LAUDERDALE, FL

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

FT. LAUDERDALE, FL

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

FT. LAUDERDALE, FL

Past

February 8, 2007 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

FT. LAUDERDALE, FL

Past

February 2, 2007 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

FT. LAUDERDALE, FL

Past

April 17, 2003 - February 5, 2007

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

FT. LAUDERDALE, FL

Past

April 17, 2003 - February 5, 2007

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

FT. LAUDERDALE, FL

Past

January 10, 1994 - April 28, 2003

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

FT LAUDERDALE, FL

Past

January 4, 1994 - April 28, 2003

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

ST. PETERSBURG, FL

Past

March 3, 1989 - December 16, 1993

BARNETT INVESTMENTS, INC.

CRD#: 14897

JACKSONVILLE, FL

Past

December 22, 1987 - April 15, 1989

BARNETT BOND SERVICE, INC.

CRD#: 20852

Past

September 22, 1983 - September 21, 1987

MORGAN STANLEY DW INC.

CRD#: 7556

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".

ROSSBY FINANCIAL, LLC

CRD#: 324631 / SEC#: 801-127370

RIA

Registered Investment Advisory firm - (2/24/2023 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(4/29/2024)

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 66

Date: 2/13/2006

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/13/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/31/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/17/1983

General Securities Representative Examination

Current Firm

ROSSBY FINANCIAL, LLC

CRD#: 324631 / SEC#: 801-127370

RIA

Registered Investment Advisory firm - (2/24/2023 Approved)

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Contact information

Main Address

2412 Irwin Street, Melbourne, FL 32901

Mailing Address

Phone number

(321) 209-0111

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (31 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ROSSBY WRAP BROCHURE 2025 (3/4/2025)

ROSSBY ADV PART 2A BROCHURE (3/4/2025)

Regulatory assets under management

Total Number of Accounts	804
AUM (Assets Under Management)	$ 358,627,117

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.

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Advisor Monitoring

Firm Stability Insights

Stephen P. Florio

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Paul Florio's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

BARNETT INVESTMENTS, INC.

BARNETT BOND SERVICE, INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

ROSSBY FINANCIAL, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/13/2006

Series 63

Date: 10/13/1983

SIE

Date: 8/31/2018

Series 7

Date: 9/17/1983

Current Firm

ROSSBY FINANCIAL, LLC

Contact information

SEC notice filing (31 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ROSSBY FINANCIAL, LLC

TRUST BUT VERIFY

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