Stephen A. North
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.
Stephen Allyn North, who also goes by Stephen A North, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1980. Stephen had worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 31, Series 4 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
June 29, 2009 - December 31, 2023
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
April 3, 2009 - December 31, 2023
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 15, 2004 - April 6, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 29, 2002 - April 6, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 15, 2001 - June 13, 2001
BOSTON MERCHANT FINANCIAL SERVICES, INC.
May 14, 1999 - March 7, 2001
HORNOR, TOWNSEND & KENT, LLC
April 3, 1997 - March 23, 1999
FINANCIAL WEST GROUP
February 11, 1980 - April 4, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 7TO
Date: 1/2/2023
General Securities Representative 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.
Company Information
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
Financial AdvisorCRD#: 149018TRUST BUT VERIFY
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