Steven A. Bernstein
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 Allen Bernstein, who also goes by Steve Bernstein, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1983. Steven had worked at 6 firms and has passed the Series 63, SIE, Series 7 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
March 30, 2009 - May 1, 2019
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
April 8, 2008 - October 10, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 20, 2008 - May 1, 2019
RAYMOND JAMES FINANCIAL SERVICES, INC.
December 17, 2004 - March 27, 2008
RAYMOND JAMES & ASSOCIATES, INC.
July 28, 2000 - March 27, 2008
RAYMOND JAMES & ASSOCIATES, INC.
June 2, 1986 - August 1, 2000
UBS FINANCIAL SERVICES INC.
May 29, 1984 - July 7, 1986
EMPIRE NATIONAL SECURITIES, INCORPORATED
September 22, 1983 - May 25, 1984
PW SECURITIES, INC.
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.
