Stephanie A. Ironside
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.
Stephanie Ann Ironside, who also goes by Stephanie Ann Giblin, Stephanie Ann Ruiz, was a registered financial professional .
Stephanie is a previously registered financial professional and started their career in finance in 2008. Stephanie had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 16, 2020 - May 22, 2020
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
March 12, 2020 - May 22, 2020
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 29, 2016 - December 27, 2018
BFC PLANNING, INC.
December 16, 2015 - December 27, 2018
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
August 8, 2012 - December 27, 2018
SECURITIES MANAGEMENT & RESEARCH, INC.
March 10, 2010 - December 27, 2018
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
August 20, 2008 - October 7, 2009
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, 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.
