Steven J. Zanolli

SANDY MORRIS FINANCIAL & ESTATE PLANNING SERVICES

Tampa, FL 33625

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CRD#: 4253364

Professional summary

Steven Joseph Zanolli, who also goes by Steven Joseph Zanolli, Steve Zanolli, Steven Zanolli, is a registered financial advisor currently at SANDY MORRIS FINANCIAL & ESTATE PLANNING SERVICES, LLC located in Tampa, Florida.

Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Steven has worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Steven Joseph Zanolli | Steve Zanolli | Steven Zanolli

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.

Notary Public; not investment related; Dover, FL; Notary Services; Notary; start date 12/2010; 1 hour/month; 1 trading hour/month; notarize documents Sandy Morris Financial & Estate Planning Services, LLC; investment related; 10015 Gallant Lane, Tampa, FL 33625; Financial Services; Chief Compliance Officer/Portfolio Manager; start date 5/2015; 160 hours/month; 130 trading hours/month; salaried, non-sales operations staff.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Joseph Zanolli'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

January 5, 2016 - Present

SANDY MORRIS FINANCIAL & ESTATE PLANNING SERVICES, LLC

Office #1: 10015 Gallant Lane, Tampa, FL 33625

RIA

CRD#: 187519

Tampa, FL

Past

November 18, 2024 - April 17, 2025

LPL ENTERPRISE, LLC

RIA

CRD#: 8733

TAMPA, FL

Past

November 14, 2024 - April 17, 2025

LPL ENTERPRISE, LLC

CRD#: 8733

TAMPA, FL

Past

October 28, 2024 - November 12, 2024

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

TAMPA, FL

Past

October 22, 2024 - November 14, 2024

PRUCO SECURITIES, LLC.

CRD#: 5685

TAMPA, FL

Past

February 11, 2016 - December 31, 2018

G.F. INVESTMENT SERVICES, LLC

CRD#: 132939

Tampa, FL

Past

October 20, 2010 - January 18, 2017

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

RIA

CRD#: 132070

TAMPA, FL

Past

October 24, 2007 - February 23, 2010

AMERICAN INVESTMENT SERVICES

RIA

CRD#: 144088

PALM HARBOR, FL

Past

October 6, 2006 - December 7, 2015

MIDAMERICA FINANCIAL SERVICES, INC.

CRD#: 47351

TAMPA, FL

Past

November 9, 2005 - July 5, 2006

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

CRD#: 13609

PALM HARBOR, FL

Past

December 6, 2002 - November 8, 2005

LEGACY FINANCIAL SERVICES, INC.

CRD#: 38697

PETALUMA, CA

Past

April 26, 2001 - October 31, 2002

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

TAMPA, FL

Past

April 23, 2001 - October 31, 2002

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

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".

SANDY MORRIS FINANCIAL & ESTATE PLANNING SERVICES, LLC

CRD#: 187519 / SEC#: 801-117852

RIA

Registered Investment Advisory firm - (1/2/2020 Approved)

Florida

Registered Investment Advisory firm - (1/7/2020 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Florida
(1/5/2016)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/19/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/28/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/20/2001

General Securities Representative Examination

Current Firm

SANDY MORRIS FINANCIAL & ESTATE PLANNING SERVICES, LLC

CRD#: 187519 / SEC#: 801-117852

RIA

Registered Investment Advisory firm - (1/2/2020 Approved)

Florida

Registered Investment Advisory firm - (1/7/2020 Terminated)

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Contact information

Main Address

10015 Gallant Lane, Tampa, FL 33625

Mailing Address

Phone number

(813) 443-0879

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A DISCLOSURE BROCHURE (6/4/2025)

Regulatory assets under management

Total Number of Accounts	670
AUM (Assets Under Management)	$ 152,033,063

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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Advisor Monitoring

Firm Stability Insights

Steven J. Zanolli

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

LPL ENTERPRISE, LLC

LPL ENTERPRISE, LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

G.F. INVESTMENT SERVICES, LLC

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

AMERICAN INVESTMENT SERVICES

MIDAMERICA FINANCIAL SERVICES, INC.

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

LEGACY FINANCIAL SERVICES, INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

SANDY MORRIS FINANCIAL & ESTATE PLANNING SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/19/2007

Series 63

Date: 1/28/2002

SIE

Date: 10/1/2018

Series 7

Date: 4/20/2001

Current Firm

SANDY MORRIS FINANCIAL & ESTATE PLANNING SERVICES, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SANDY MORRIS FINANCIAL & ESTATE PLANNING SERVICES, LLC

TRUST BUT VERIFY

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