Steven J. Mucciolo
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 John Mucciolo was a registered financial advisor .
Steven is a previously registered financial advisor and started their career in finance in 1989. Steven had worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 28, 2011 - November 10, 2015
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
April 25, 2011 - November 10, 2015
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 11, 2003 - May 12, 2011
CHASE INVESTMENT SERVICES CORP.
February 21, 2001 - May 12, 2011
CHASE INVESTMENT SERVICES CORP.
January 20, 1995 - March 15, 2001
TAGLICH BROTHERS, INC.
August 22, 1990 - January 23, 1995
WEATHERLY SECURITIES CORPORATION
August 9, 1989 - January 11, 1990
LEHMAN BROTHERS INC.
March 15, 1989 - May 31, 1989
PATAGON.COM SECURITIES CORP.
January 24, 1989 - March 10, 1989
INVESTORS CENTER, 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.
