Steven C. Newcomb
Professional summary
Steven Craig Newcomb, who also goes by Craig Newcomb, is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in Tampa, Florida and TRUIST INVESTMENT SERVICES, INC. located in Tampa, Florida.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Steven has worked at 9 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 31, Series 7, Series 6, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Steven Craig Newcomb's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 19, 2022 - Present
TRUIST ADVISORY SERVICES, INC.
Office #1: 401 E Jackson St Fl 20, Tampa, FL 33602December 22, 2021 - Present
TRUIST INVESTMENT SERVICES, INC.
Office #1: 401 E Jackson St Fl 1 & 19, Tampa, FL 33602July 27, 2017 - October 31, 2019
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
July 13, 2017 - October 31, 2019
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 14, 2016 - July 11, 2017
RAYMOND JAMES & ASSOCIATES, INC.
October 13, 2016 - July 11, 2017
RAYMOND JAMES & ASSOCIATES, INC.
May 20, 2010 - March 4, 2016
MORGAN STANLEY
January 15, 2010 - March 4, 2016
MORGAN STANLEY
February 13, 2006 - April 24, 2009
E*TRADE SECURITIES LLC
February 5, 2001 - May 8, 2006
BROWNCO, LLC
February 6, 1995 - February 7, 2001
T. ROWE PRICE INVESTMENT SERVICES, INC.
Primary Firm SEC Registration
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/23/2022)
(5/18/2022)
(1/10/2022)
(5/5/2022)
(5/23/2022)
(2/15/2022)
(12/23/2021)
(5/25/2022)
(1/11/2022)
(1/3/2022)
(5/19/2022)
(5/31/2022)
(5/31/2022)
(1/5/2022)
(6/6/2022)
(9/23/2022)
(5/26/2022)
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(6/2/2022)
(1/7/2022)
(8/25/2022)
(12/23/2021)
(6/1/2022)
(6/8/2022)
(6/24/2022)
(6/23/2022)
(6/9/2022)
(6/17/2022)
(6/24/2022)
(5/17/2022)
(6/24/2022)
(7/19/2022)
(7/19/2022)
(8/5/2022)
(9/15/2022)
(6/24/2022)
(8/8/2022)
(8/15/2022)
(9/14/2022)
(9/8/2022)
(12/23/2021)
(9/14/2022)
(9/21/2022)
(9/21/2022)
(9/22/2022)
(9/21/2022)
(9/22/2022)
(9/22/2022)
(10/17/2022)
(9/22/2022)
(9/22/2022)
(9/22/2022)
(9/23/2022)
(6/6/2022)
Exams
FINRA
Current Firm
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 124,363 |
| AUM (Assets Under Management) | $ 67,736,740,585 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/24/2025 | ||
| 03/28/2024 | ||
| 04/26/2023 |
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.
