Steve R. Doss

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

Bellaire, TX

Some features on this profile are disabled

CRD#: 5542420

Professional summary

Steve Rodney Doss, who also goes by Steve R Doss II, Steve Doss, Steve Rodney Doss Ii, is a registered financial advisor currently at NEW YORK LIFE INVESTMENT MANAGEMENT LLC located in Bellaire, Texas and NYLIFE DISTRIBUTORS LLC located in North Myrtle Beach, South Carolina.

Steve is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Steve has worked at 9 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Steve R Doss Ii | Steve Doss | Steve Rodney Doss Ii

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steve Rodney Doss'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

February 3, 2023 - Present

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

RIA

CRD#: 109591

Bellaire, TX

Current

February 3, 2023 - Present

NYLIFE DISTRIBUTORS LLC

CRD#: 35350

North Myrtle Beach, SC

Past

March 4, 2022 - February 2, 2023

COMMONWEALTH FINANCIAL NETWORK

RIA

CRD#: 8032

Houston, TX

Past

March 4, 2022 - February 2, 2023

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

Houston, TX

Past

June 21, 2017 - March 14, 2022

ALLIANCEBERNSTEIN L.P.

RIA

CRD#: 108477

Houston, TX

Past

June 21, 2017 - March 14, 2022

ALLIANCEBERNSTEIN INVESTMENTS, INC.

CRD#: 14549

NASHVILLE, TN

Past

January 3, 2014 - May 9, 2017

INVESCO ADVISERS, INC.

RIA

CRD#: 105360

HOUSTON, TX

Past

October 30, 2013 - May 9, 2017

INVESCO DISTRIBUTORS, INC.

CRD#: 7369

HOUSTON, TX

Past

September 7, 2011 - October 7, 2013

HINES PRIVATE WEALTH SOLUTIONS LLC

CRD#: 128145

HOUSTON, TX

Past

March 15, 2011 - July 11, 2011

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

HOUSTON, TX

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".

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

NEW YORK LIFE ASSET MANAGEMENT OPERATING CO LLC | NYLI | NEW YORK LIFE INVESTMENTS | NEW YORK LIFE INVESTMENT MANAGEMENT LLC

CRD#: 109591 / SEC#: 801-57396

RIA

Registered Investment Advisory firm - (3/20/2000 Approved)

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.

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

Louisiana
(10/12/2023)

Texas
(2/3/2023)

IAR

Texas
(2/3/2023)

Utah
(11/7/2023)

Wisconsin
(11/7/2023)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/27/2013

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/27/2011

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: 3/14/2011

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

NEW YORK LIFE ASSET MANAGEMENT OPERATING CO LLC | NYLI | NEW YORK LIFE INVESTMENTS | NEW YORK LIFE INVESTMENT MANAGEMENT LLC

CRD#: 109591 / SEC#: 801-57396

RIA

Registered Investment Advisory firm - (3/20/2000 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

51 Madison Avenue, New York, NY 10010

Mailing Address

Phone number

(888) 474-7725

Established

Firm type

Fiscal year end

# of Employees

349

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NYLIM ADV PART 2A JULY 2025 (7/8/2025)

Regulatory assets under management

Total Number of Accounts	1,047
AUM (Assets Under Management)	$ 113,162,976,263

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Steve R. Doss

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steve Rodney Doss's CRS (Customer Relationship Summary).

Certified licenses

Experience

NYLIFE DISTRIBUTORS LLC

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

ALLIANCEBERNSTEIN L.P.

ALLIANCEBERNSTEIN INVESTMENTS, INC.

INVESCO ADVISERS, INC.

INVESCO DISTRIBUTORS, INC.

HINES PRIVATE WEALTH SOLUTIONS LLC

SECURIAN FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/27/2013

Series 63

Date: 9/27/2011

SIE

Date: 10/1/2018

Series 7

Date: 3/14/2011

FINRA

Current Firm

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

TRUST BUT VERIFY

Similar Advisors