Corey A. Steadman
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.
Corey Atterbury Steadman was a registered financial professional .
Corey is a previously registered financial professional and started their career in finance in 1972. Corey had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 5, PC, Series 1, Series 24, Series 4 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 30, 2018 - September 16, 2020
RAYMOND JAMES & ASSOCIATES, INC.
April 27, 2018 - September 16, 2020
RAYMOND JAMES & ASSOCIATES, INC.
January 30, 2009 - May 8, 2018
UBS FINANCIAL SERVICES INC.
January 30, 2009 - May 8, 2018
UBS FINANCIAL SERVICES INC.
July 1, 2003 - February 2, 2009
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - February 2, 2009
WELLS FARGO CLEARING SERVICES, LLC
June 1, 2000 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
June 1, 2000 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
May 4, 1990 - June 20, 2000
UBS FINANCIAL SERVICES INC.
October 10, 1989 - April 19, 1990
GRUNTAL & CO., L.L.C.
April 11, 1988 - October 11, 1989
LEHMAN BROTHERS INC.
June 28, 1972 - April 11, 1988
E. F. HUTTON & COMPANY INC
Primary Firm SEC Registration
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
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
Series 5
Date: 11/17/1981
Interest Rate Options ExaminationPC
Date: 8/31/1977
AMEX Put and Call ExamSeries 1
Date: 6/26/1972
Registered Representative ExaminationSeries 12
Date: 8/6/1979
NYSE Branch Manager ExaminationCurrent Firm
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | HOLDING COMPANY | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| BUNN, JAMES EDWARD | DIRECTOR | 3130320 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| DELEON, ALLYSSA NICOLE | PRINCIPAL FINANCIAL OFFICER / FINOP | 6902665 |
| ELWYN, TASHTEGO SPRING | PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR | 2319098 |
| MARTIN, PHILIP ROGER | RIA CHIEF COMPLIANCE OFFICER | 2613565 |
| RUST, KEITH G | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL / SECRETARY | 6306997 |
| SICKLING, JAMES PHILIP | DIRECTOR | 1240810 |
Regulatory assets under management
| Total Number of Accounts | 1,070,028 |
| AUM (Assets Under Management) | $ 433,814,330,581 |
Disclosures
| Regulatory Event | 181 |
| Arbitration | 72 |
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.
