Stephen Florio
Stephen Florio is a registered investment advisor at Rossby Financial, LLC, based in Melbourne, FL, with 41 years of industry experience. Stephen operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Financial Planning & Coaching, High Net Worth, Investment Management, Retirement Planning. Their firm serves 804 clients with $360M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Rossby Financial offers investment management services for a fee based on the value of your investments. The fee is negotiable, but will not exceed 2.5% annually. The exact fee depends on the size and composition of your portfolio, the services provided, and the representative providing the services. Fees are generally charged quarterly or monthly, in advance or arrears, based on the period-end balance.
Location
2412 Irwin Street, Melbourne, FL, 32901
Get directionsHistory
Regulatory History (5)
Financial
July 2023Regulatory
April 2023Regulatory
August 2020Employment Separation After Allegations
August 2018Customer Dispute
September 1994Other Business Activities
Stephen is a board trustee for Downtown Harbor Church, dedicating minimal time to overseeing personnel and activities. He also works as a consultant for Neptune Global Holdings, LLC, spending a few hours per week training employees and assisting with sales of physical bullion offerings.
Employment History
Current Registrations
Rossby Financial, LLC
Previous Registrations
Cambridge Investment Research Advisors, INC.
Cambridge Investment Research, INC.Broker
Raymond James & Associates, INC.
Raymond James & Associates, INC.Broker
Morgan Stanley
Morgan StanleyBroker
Morgan Stanley & CO. IncorporatedBroker
Morgan Stanley & CO. Incorporated
Morgan Stanley
Morgan Stanley Dw INC.Broker
Banc of America Investment Services, INC.
Banc of America Investment Services, INC.Broker
Raymond James & Associates, INC.
Raymond James & Associates, INC.Broker
Barnett Investments, INC.Broker
Barnett Bond Service, INC.Broker
Dean Witter Reynolds INC.Broker
State Registrations1 state
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.