Steven Singleton

RAYMOND JAMES INVESTMENT MANAGEMENT

Oakland, CA

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CRD#: 2269750

Professional summary

Steven Singleton, who also goes by Steve Singleton, is a registered financial advisor currently at RAYMOND JAMES INVESTMENT MANAGEMENT located in Oakland, California and CARILLON FUND DISTRIBUTORS, INC. located in St. Petersburg, Florida.

Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Steven has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 87, Series 86, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Steve Singleton

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Singleton'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

October 29, 2020 - Present

RAYMOND JAMES INVESTMENT MANAGEMENT

RIA

CRD#: 174904

Oakland, CA

Current

October 16, 2020 - Present

CARILLON FUND DISTRIBUTORS, INC.

Office #1: 880 Carillon Parkway, St. Petersburg, FL 33716

CRD#: 139749

St. Petersburg, FL

Past

January 23, 2017 - July 23, 2020

SPI STRATEGIES, LLC

RIA

CRD#: 130295

OAKLAND, CA

Past

November 12, 2008 - February 6, 2020

BLAYLOCK VAN, LLC

RIA

CRD#: 145317

OAKLAND, CA

Past

December 21, 2007 - September 30, 2020

BLAYLOCK VAN, LLC

CRD#: 145317

OAKLAND, CA

Past

October 12, 2006 - December 21, 2007

ROBERT VAN SECURITIES, INC.

RIA

CRD#: 29581

OAKLAND, CA

Past

March 19, 2004 - December 31, 2016

SPI STRATEGIES, LLC

RIA

CRD#: 130295

OAKLAND, CA

Past

February 2, 1997 - December 21, 2007

ROBERT VAN SECURITIES, INC.

CRD#: 29581

OAKLAND, CA

Past

December 1, 1995 - December 31, 1998

FIRST MONTAUK SECURITIES CORP.

CRD#: 13755

RED BANK, NJ

Past

August 28, 1993 - November 28, 1995

TRANSGLOBAL INVESTMENTS INC.

CRD#: 29290

Past

January 25, 1993 - September 22, 1993

FACTSET DATA SYSTEMS, INC.

CRD#: 7782

NORWALK, CT

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 INVESTMENT MANAGEMENT

CARILLON TOWER ADVISERS, INC. | RAYMOND JAMES INVESTMENT MANAGEMENT

CRD#: 174904 / SEC#: 801-100356

RIA

Registered Investment Advisory firm - (7/6/2015 Approved)

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

California
(10/16/2020)

IAR

California
(10/29/2020)

Florida
(2/3/2021)

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: 2/18/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/22/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 87

Date: 10/31/2006

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 86

Date: 10/11/2006

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 7

Date: 11/3/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/21/2007

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

RAYMOND JAMES INVESTMENT MANAGEMENT

CARILLON TOWER ADVISERS, INC. | RAYMOND JAMES INVESTMENT MANAGEMENT

CRD#: 174904 / SEC#: 801-100356

RIA

Registered Investment Advisory firm - (7/6/2015 Approved)

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Contact information

Main Address

780 Carillon Parkway, St Petersburg, FL 33716

Mailing Address

880 Carillon Parkway, St Petersburg, FL 33716

Phone number

(800) 521-1195

Established

Firm type

Fiscal year end

# of Employees

173

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RAYMOND JAMES INVESTMENT MANAGEMENT FORM ADV PART 2 DECEMBER 2024 (12/11/2024)

Regulatory assets under management

Total Number of Accounts	5
AUM (Assets Under Management)	$ 16,378,977,378

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.

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Firm Stability Insights

Steven Singleton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Singleton's CRS (Customer Relationship Summary).

Certified licenses

Experience

CARILLON FUND DISTRIBUTORS, INC.

SPI STRATEGIES, LLC

BLAYLOCK VAN, LLC

BLAYLOCK VAN, LLC

ROBERT VAN SECURITIES, INC.

SPI STRATEGIES, LLC

ROBERT VAN SECURITIES, INC.

FIRST MONTAUK SECURITIES CORP.

TRANSGLOBAL INVESTMENTS INC.

FACTSET DATA SYSTEMS, INC.

Primary Firm SEC Registration

RAYMOND JAMES INVESTMENT MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 2/18/1999

Series 63

Date: 9/22/1993

SIE

Date: 10/1/2018

Series 87

Date: 10/31/2006

Series 86

Date: 10/11/2006

Series 7

Date: 11/3/1992

Series 24

Date: 11/21/2007

FINRA

Current Firm

RAYMOND JAMES INVESTMENT MANAGEMENT

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RAYMOND JAMES INVESTMENT MANAGEMENT

TRUST BUT VERIFY

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