Steven R. Schaad
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 Ronald Schaad, who also goes by Steve Schaad, Steven Schaad, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1996. Steven had worked at 10 firms and has passed the Series 66, 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
March 17, 2020 - July 28, 2020
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
March 16, 2020 - July 28, 2020
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 6, 2018 - March 25, 2020
OSAIC WEALTH, INC.
September 6, 2018 - March 30, 2020
WOODBURY FINANCIAL SERVICES, INC.
September 6, 2018 - March 30, 2020
OSAIC SERVICES, INC.
September 6, 2018 - March 30, 2020
FSC SECURITIES CORPORATION
September 6, 2018 - March 25, 2020
OSAIC WEALTH, INC.
September 6, 2018 - March 30, 2020
WOODBURY FINANCIAL SERVICES, INC.
September 6, 2018 - March 30, 2020
OSAIC SERVICES, INC.
September 6, 2018 - March 30, 2020
FSC SECURITIES CORPORATION
February 1, 2017 - August 30, 2018
CHARLES SCHWAB & CO., INC.
January 31, 2017 - August 30, 2018
CHARLES SCHWAB & CO., INC.
March 30, 2015 - August 23, 2016
ENTRUST FINANCIAL LLC
April 21, 2011 - April 30, 2015
LINCOLN INVESTMENT
May 16, 2006 - April 30, 2015
LINCOLN INVESTMENT
December 5, 1996 - August 4, 2000
QUICK & REILLY, 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.
