Stephen W. Worford
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 William Worford, who also goes by Stephen W Worford, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1995. Stephen had worked at 6 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 25, 2017 - April 20, 2018
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
April 12, 2017 - April 20, 2018
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 30, 2015 - April 10, 2017
LPL FINANCIAL LLC
October 30, 2015 - April 10, 2017
LPL FINANCIAL LLC
January 9, 2004 - December 31, 2015
AMEGY INVESTMENTS, INC.
May 13, 2003 - June 14, 2016
AMEGY INVESTMENTS, INC.
February 15, 1999 - May 15, 2003
FISERV INVESTOR SERVICES, INC.
January 19, 1999 - February 10, 1999
FISERV INVESTOR SERVICES, INC.
January 11, 1995 - January 26, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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.
