Stephen P. Yaworsky
Professional summary
Stephen Paul Yaworsky was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Stephen is a previously registered financial professional and started their career in finance in 2012. Prior to being barred, Stephen had worked at 7 firms, which includes RAYMOND JAMES FINANCIAL SERVICES ADVISORS INC, RAYMOND JAMES FINANCIAL SERVICES INC., BANCWEST INVESTMENT SERVICES INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, VALIC FINANCIAL ADVISORS INC., BANKOH INVESTMENT SERVICES INC., MORGAN STANLEY.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 3, 2017 - April 26, 2018
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
May 3, 2017 - April 26, 2018
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 27, 2016 - May 2, 2017
BANCWEST INVESTMENT SERVICES, INC.
July 27, 2016 - May 2, 2017
BANCWEST INVESTMENT SERVICES, INC.
December 16, 2015 - July 26, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 16, 2015 - July 26, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 9, 2015 - November 19, 2015
VALIC FINANCIAL ADVISORS, INC.
February 9, 2015 - November 19, 2015
VALIC FINANCIAL ADVISORS, INC.
March 10, 2014 - February 9, 2015
BANKOH INVESTMENT SERVICES, INC.
March 3, 2014 - February 9, 2015
BANKOH INVESTMENT SERVICES, INC.
February 10, 2012 - January 31, 2014
MORGAN STANLEY
January 13, 2012 - January 31, 2014
MORGAN STANLEY
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
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