SC
Steven L. Cavazos
TRUIST INVESTMENT SERVICES
Tampa, FL 33602
Some features on this profile are disabled
CRD#: 5386686
SC
Professional summary
Steven Lee Cavazos is a registered financial professional currently at TRUIST INVESTMENT SERVICES, INC. located in Tampa, Florida.
Steven is registered as a RR (Registered Representative) and started their career in finance in 2008. Steven has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Steven Lee Cavazos's 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®
NoneExperience
Current
June 26, 2019 - Present
TRUIST INVESTMENT SERVICES, INC.
Office #1: 401 E Jackson St Fl 19, Tampa, FL 33602BD
CRD#: 17499
Tampa, FL
Past
January 3, 2018 - May 1, 2018
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
ST. PETERSBURG, FL
Past
December 13, 2017 - May 1, 2018
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
ST. PETERSBURG, FL
Past
November 10, 2016 - February 3, 2017
TRANSAMERICA INVESTORS SECURITIES, LLC
BD
CRD#: 32205
ST. PETERSBURG, FL
Past
October 21, 2013 - June 20, 2016
USAA FINANCIAL ADVISORS, INC.
BD
CRD#: 129035
TAMPA, FL
Past
June 16, 2008 - March 20, 2013
T. ROWE PRICE INVESTMENT SERVICES, INC.
BD
CRD#: 8348
TAMPA, FL
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(6/26/2019)
RR
Alaska(6/26/2019)
RR
Arizona(6/26/2019)
RR
Arkansas(6/26/2019)
RR
California(6/26/2019)
RR
Colorado(6/26/2019)
RR
Connecticut(6/26/2019)
RR
Delaware(6/26/2019)
RR
District of Columbia(6/26/2019)
RR
Florida(6/26/2019)
RR
Georgia(6/26/2019)
RR
Hawaii(6/26/2019)
RR
Idaho(6/26/2019)
RR
Illinois(6/26/2019)
RR
Indiana(6/26/2019)
RR
Iowa(6/26/2019)
RR
Kansas(6/26/2019)
RR
Kentucky(6/26/2019)
RR
Louisiana(6/26/2019)
RR
Maine(6/26/2019)
RR
Maryland(6/26/2019)
RR
Massachusetts(6/26/2019)
RR
Michigan(6/26/2019)
RR
Minnesota(6/26/2019)
RR
Mississippi(6/26/2019)
RR
Missouri(6/26/2019)
RR
Montana(6/26/2019)
RR
Nebraska(6/26/2019)
RR
Nevada(6/26/2019)
RR
New Hampshire(6/26/2019)
RR
New Jersey(6/26/2019)
RR
New Mexico(6/26/2019)
RR
New York(6/26/2019)
RR
North Carolina(6/26/2019)
RR
North Dakota(6/26/2019)
RR
Ohio(6/27/2019)
RR
Oklahoma(6/26/2019)
RR
Oregon(6/26/2019)
RR
Pennsylvania(6/26/2019)
RR
Puerto Rico(6/26/2019)
RR
Rhode Island(6/26/2019)
RR
South Carolina(6/26/2019)
RR
South Dakota(6/26/2019)
RR
Tennessee(6/26/2019)
RR
Texas(6/26/2019)
RR
Utah(6/26/2019)
RR
Vermont(6/26/2019)
RR
Virgin Islands(4/14/2021)
RR
Virginia(6/26/2019)
RR
Washington(6/26/2019)
RR
West Virginia(6/26/2019)
RR
Wisconsin(6/26/2019)
RR
Wyoming(6/26/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TI
TRUIST INVESTMENT SERVICES, INC.
ALEXANDER KEY | TRUIST INVESTMENT SERVICES, INC. | SUNTRUST SECURITIES, INC. | SUNTRUST SECURITIES INC | SUNTRUST INVESTMENT SERVICES, INC. | SUNTRUST BROKERAGE SERVICES, INC.
CRD#: 17499 / SEC#: 801-56443, 8-35355
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
303 Peachtree Street Suntrust Garden Offices Suite 140, Atlanta, GA 30303
Mailing Address
303 Peachtree Street 2nd Floor, Atlanta, GA 30303
Phone number
(800) 874-4770
Established
Georgia since 11/27/1985
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRUIST FINANCIAL CORPORATION | HOLDING COMPANY | |
| CALLENDER, EVELYN MICHELLE | TREASURER AND CHIEF FINANCIAL OFFICER | 7591739 |
| CENTENO, PATRICIA REED | DEPUTY CHIEF COMPLIANCE OFFICER | 2239528 |
| COBBS, JENI RACHEL | COMPLIANCE OFFICER | 4354424 |
| CRAM, BRYAN SCOTT | VICE CHAIRMAN/EXECUTIVE VICE PRESIDENT | 2723431 |
| DOWHOWER, BRIAN SEAN | CHAIRMAN/PRESIDENT/CHIEF EXECUTIVE OFFICER | 4202574 |
| DUNN, JEFFREY TODD | DIRECTOR/EXECUTIVE VICE PRESIDENT | 4228631 |
| HECHTLINGER, SUSAN | DIRECTOR/CHIEF COMPLIANCE OFFICER/SENIOR VICE PRESIDENT | 2890466 |
| MAVICO, CECILIA BAUTE | SENIOR VICE CHAIRMAN/CHIEF OPERATING OFFICER/CORPORATE SECRETARY | 3261303 |
| NORMAN, ANNMARIE CARROLL | COMPLIANCE OFFICER | 2993726 |
| TYSON, TONYA | CHIEF OPERATIONS OFFICER/SENIOR VICE PRESIDENT/ASSISTANT CORPORATE SECRETARY | 1987448 |
| WEHINGER, LEAH ROWE | DIRECTOR/EXECUTIVE VICE PRESIDENT | 1719505 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 14 |
| Bond | 2 |
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.
