Stephen R. Adams

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CRD#: 1270

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 Robert Adams was a registered financial professional .

Stephen is a previously registered financial professional and started their career in finance in 1972. Stephen had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 1, Series 4 and Series 40 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.

The advisor shows no other business activity.

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

May 27, 2014 - December 31, 2014

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

SAN FRANCISCO, CA

Past

May 27, 2014 - December 31, 2014

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

SAN FRANCISCO, CA

Past

February 11, 2011 - May 30, 2014

INTL ADVISORY CONSULTANTS INC.

RIA

CRD#: 130888

SAN FRANCISCO, AL

Past

February 11, 2011 - May 30, 2014

STERNE, AGEE & LEACH, INC.

CRD#: 791

SAN FRANCISCO, CA

Past

June 21, 2004 - February 12, 2011

NOLLENBERGER CAPITAL PARTNERS INC.

RIA

CRD#: 119248

SAN FRANCISCO, CA

Past

June 21, 2004 - February 12, 2011

NOLLENBERGER CAPITAL PARTNERS INC.

CRD#: 119248

SAN FRANCISCO, CA

Past

February 28, 2002 - June 28, 2004

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

SAN FRANCISCO, CA

Past

July 11, 2001 - June 28, 2004

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

SAN FRANCISCO, CA

Past

October 24, 1978 - July 11, 2001

WELLS FARGO SECURITIES, LLC

CRD#: 7665

SAN FRANCISCO, CA

Past

January 18, 1978 - December 3, 1978

LOEB PARTNERS

CRD#: 7534

Past

January 4, 1977 - January 18, 1978

LOEB RHOADES & CO. INC.

CRD#: 7502

Past

August 14, 1974 - January 4, 1977

LOEB, RHOADES & CO. INC.

CRD#: 525

Past

November 8, 1972 - July 17, 1974

SHEARSON, HAMMILL & CO., INCORPORATED

CRD#: 766

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 & ASSOCIATES, INC.

CRD#: 705 / SEC#: 801-10418, 8-10999

RIA

Registered Investment Advisory firm - SEC (12/19/1974 Approved)

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

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: 10/26/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/20/1979

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2014

Securities Industry Essentials Examination

General Industry/Product Exam

Series 15

Date: 11/28/1984

Foreign Currency Options Examination

General Industry/Product Exam

Series 1

Date: 11/3/1972

Registered Representative Examination

Principal/Supervisory Exam

Series 4

Date: 4/21/1977

Registered Options Principal Examination

Principal/Supervisory Exam

Series 40

Date: 3/17/1977

Registered Principal Examination

Current Firm

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705 / SEC#: 801-10418, 8-10999

RIA

Registered Investment Advisory firm - SEC (12/19/1974 Approved)

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

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Contact information

Main Address

880 Carillon Parkway, St. Petersburg, FL 33716

Mailing Address

880 Carillon Parkway, St. Petersburg, FL 33716

Phone number

(727) 567-1000

Established

Florida since 02/19/1969

Firm type

Corporation

Fiscal year end

September

Firm Size

Large

# of Employees

13,966

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

RAYMOND JAMES WRAP FEE PROGRAM BROCHURE (6/30/2025)

INSTITUTIONAL FIDUCIARY SOLUTIONS PROGRAM BROCHURE (6/30/2025)

RAYMOND JAMES FORM ADV PART 2A BROCHURE (6/30/2025)

PUBLIC FINANCE INVESTMENT STRATEGIES BROCHURE (12/20/2024)

Direct owners and executive officers

Name	Position	CRD#
RAYMOND JAMES FINANCIAL, INC.	HOLDING COMPANY
AULETTA, SUZANNE ELIZABETH	DIRECTOR	1418817
BARKO, SHAWN JOSEPH	CHIEF COMPLIANCE OFFICER	2690394
BUNN, JAMES EDWARD	DIRECTOR	3130320
CAMPAGNOLI, VINCENT JOHN	CHIEF INFORMATION OFFICER	1421076
CURTIS, SCOTT	DIRECTOR	1707935
DELEON, ALLYSSA NICOLE	PRINCIPAL FINANCIAL OFFICER / FINOP	6902665
ELWYN, TASHTEGO SPRING	PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR	2319098
MARTIN, PHILIP ROGER	RIA CHIEF COMPLIANCE OFFICER	2613565
RUST, KEITH G	DIRECTOR, PRINCIPAL OPERATIONS OFFICER	5915636
SANTELLI, JONATHAN	GENERAL COUNSEL / SECRETARY	6306997
SICKLING, JAMES PHILIP	DIRECTOR	1240810

Regulatory assets under management

Total Number of Accounts	1,070,028
AUM (Assets Under Management)	$ 433,814,330,581

Disclosures

Regulatory Event	181
Arbitration	72

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.