Steven T. Allen
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 Turner Allen, who also goes by Steve T Allen Jr, Steve Turner Allen, Steve Turner, Steven Turner, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1989. Steven had worked at 7 firms and has passed the Series 66, 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
August 6, 2009 - June 21, 2017
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
July 31, 2007 - October 10, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 27, 2007 - June 21, 2017
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 28, 2004 - August 1, 2007
A. G. EDWARDS & SONS, INC.
July 13, 2004 - August 1, 2007
A. G. EDWARDS & SONS, INC.
November 16, 1990 - October 28, 1997
IDS LIFE INSURANCE COMPANY
November 16, 1990 - October 28, 1997
AMERIPRISE FINANCIAL SERVICES, LLC
September 4, 1990 - November 27, 1990
WELLS FARGO CLEARING SERVICES, LLC
February 14, 1989 - September 4, 1990
PRESCOTT, BALL & TURBEN, 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.
