Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Ringquist is a financial advisor with Raymond James & Associates, Inc. Steven has been in the financial services industry since 1997 and has extensive experience in providing investment advice to individuals and businesses. Steven holds a Series 7, Series 31, Series 63, and Series 65 license and is also a Registered Representative in the state of Texas.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Please see note in schedule d - miscellaneous
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CO
04/24/2012 - Present
Raymond James & Associates, Inc. (DENVER CO)
CO
06/01/2009 - 04/18/2012
MORGAN STANLEY SMITH BARNEY (ENGLEWOOD CO)
CO
01/14/1999 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (ENGLEWOOD CO)
NY
05/30/1997 - 09/04/1998
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 06/12/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/05/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/16/1997
Series 31 - Futures Managed Funds Examination
BC
Issued 05/29/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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