William J. Steves

OSAIC WEALTH

Palm Harbor, FL 34684

Some features on this profile are disabled

CRD#: 1212140

Professional summary

William James Steves is a registered financial advisor currently at OSAIC WEALTH, INC. located in Palm Harbor, Florida.

William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. William has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) CORPORATE INVESTMENT ADVISORY REP;RESENTATIVE. AIG FINANCIAL ADVISORS, INC. NATURE INVESTMENT ADVISORY. POSITION-INVESTMENT ADVISORY REP. START DATE 01/01/2004. APPROX HOURS PER MONTH 40. HOURS PER DAY 2. DUTIES-INVESTEMENT ADVISORY AND MANAGEMENT. LIFE INSURANCE AND FIXED ANNUITIES, STEVES INVESTMENT MANAGEMENT, INC., INVESTMENT RELATED. 31115 US HIGHWAY 19N, PALM HARBOR, FL. 34684. INSURANCE AND FIXED ANNUITIES. AGENT/OWNER. START DATE 12/1/1993. HOURS PER MONTH 1. LESS THAN 1 DURING SECURITIES HOURS. SELL LIFE INSURANCE POLICIES, AND FIXED ANNUITIES. 2) PERSONAL WILLIAM J. STEVES POSITION: Individual NATURE: COINBASE ACCOUNT FOR PERSONAL INVESTMENT INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 12/20/2013 ADDRESS: Internet webeisite COINBASE, COINBASE>COM, Clearwater FL 33761, United States DESCRIPTION: THis is a personal account for personal use 3) STEVES INVESTMENT MANAGEMENT, INC. POSITION: President/Owner NATURE: I have used the S Corp for tax reporting purposes for 29 years as long as I have been affiliated with Sagepoint and previous iterations. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 11/01/1993 ADDRESS: 31115 US Hwy 19 N, Palm Harbor FL 34684, United States DESCRIPTION: Just for tax purposes and expenses to run my business

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William James Steves's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view William James Steves'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

September 1, 2023 - Present

OSAIC WEALTH, INC.

Office #1: 31115 Us Hwy 19 North, Palm Harbor, FL 34684

RIA

CRD#: 23131

Palm Harbor, FL

Current

September 1, 2023 - Present

OSAIC WEALTH, INC.

Office #1: 31115 Us Hwy 19 North, Palm Harbor, FL 34684

RIA

CRD#: 23131

Palm Harbor, FL

Past

October 31, 2005 - September 1, 2023

OSAIC SERVICES, INC.

RIA

CRD#: 133763

PALM HARBOR, FL

Past

October 31, 2005 - September 1, 2023

OSAIC SERVICES, INC.

CRD#: 133763

PALM HARBOR, FL

Past

November 23, 1993 - October 31, 2005

SUNAMERICA SECURITIES, INC.

RIA

CRD#: 20068

CLEARWATER, FL

Past

November 15, 1993 - October 31, 2005

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

November 25, 1983 - December 3, 1993

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

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".

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(9/1/2023)

California
(9/1/2023)

Florida
(9/1/2023)

IAR

Florida
(9/1/2023)

Georgia
(9/1/2023)

Indiana
(9/1/2023)

Kentucky
(9/1/2023)

Maryland
(9/1/2023)

Massachusetts
(9/1/2023)

Michigan
(9/1/2023)

Minnesota
(9/1/2023)

Montana
(9/1/2023)

Nevada
(9/1/2023)

New Hampshire
(11/13/2024)

New York
(9/1/2023)

North Carolina
(9/1/2023)

Ohio
(9/1/2023)

South Carolina
(9/1/2023)

Tennessee
(10/21/2024)

Texas
(9/1/2023)

Utah
(9/1/2023)

Vermont
(9/1/2023)

Virginia
(9/1/2023)

Washington
(9/1/2023)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/8/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/30/1983

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: 11/19/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/25/1996

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Mailing Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Phone number

(800) 821-5100

Established

Delaware since 08/05/1988

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

8,717

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

OSAIC WEALTH, INC ADV PART 2A (10/20/2025)

SIGNATOR MANAGED ACCOUNT PLATFORM (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
OSAIC, INC.	SHAREHOLDER
CORNICK, GREGORY ALLEN	CEO, PRESIDENT, DIRECTOR	3132991
FORD, ERINN JUNE	DIRECTOR	2176816
MIHAL, SHAWN MICHAEL	SVP, CHIEF COMPLIANCE OFFICER	3262384
MITCHELL, CHRISTOPHER MILLS	CORPORATE TREASURER, FINANCIAL PRINCIPAL	2420144
PRICE, JAMES DALE	CHAIRMAN	1243224
SCHLUETER, MATTHEW ADAM	EVP, OPERATIONS AND TECHNOLOGY SOLUTIONS, DIRECTOR	2627931

Regulatory assets under management

Total Number of Accounts	797,559
AUM (Assets Under Management)	$ 200,266,275,275

Disclosures

Regulatory Event	50
Arbitration	31
Bond	7

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/14/2025	Cover Page	Report
12/18/2024	Cover Page	Report
01/26/2024	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.

Similar Advisors

John Valencia

LPL FINANCIAL LLC

IAR

LARGO, FL

Spiros Vassilakos

CSENGE ADVISORY GROUP, LLC

IAR

Tarpon Springs, FL

Lee Gorgas

CHARLES SCHWAB & CO., INC.

IAR

Tampa, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

William J. Steves

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William James Steves's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view William James Steves's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

OSAIC SERVICES, INC.

OSAIC SERVICES, INC.

SUNAMERICA SECURITIES, INC.

SUNAMERICA SECURITIES, INC.

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/8/1992

Series 63

Date: 12/30/1983

SIE

Date: 10/1/2018

Series 7

Date: 11/19/1983

Series 24

Date: 4/25/1996

FINRA

Current Firm

OSAIC WEALTH, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

OSAIC WEALTH, INC.

TRUST BUT VERIFY

Similar Advisors