David H. Steger
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.
David Harris Steger JR was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1980. David had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 5 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 8, 2013 - December 31, 2021
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
April 1, 2013 - December 31, 2021
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 20, 2004 - April 2, 2013
RAYMOND JAMES & ASSOCIATES, INC.
August 22, 2003 - April 2, 2013
RAYMOND JAMES & ASSOCIATES, INC.
June 21, 2002 - September 9, 2003
WELLS FARGO CLEARING SERVICES, LLC
June 15, 2002 - September 9, 2003
WELLS FARGO CLEARING SERVICES, LLC
January 28, 2002 - June 21, 2002
WACHOVIA SECURITIES, INC.
October 14, 1988 - June 15, 2002
WACHOVIA SECURITIES, INC.
April 11, 1988 - October 14, 1988
JOHNSON, LANE, SPACE, SMITH & CO., INC.
June 27, 1983 - April 6, 1988
KIDDER, PEABODY & CO. INCORPORATED
March 21, 1980 - June 20, 1983
THE ROBINSON-HUMPHREY COMPANY, LLC
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
Series 5
Date: 1/11/1982
Interest Rate Options ExaminationCurrent 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.
