SM
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Steven Mosshart
34 Years of Experience
Cave Creek, AZ
2 Disclosures
Steven Mosshart is a registered investment advisor at Raymond John Management LLC, based in Cave Creek, AZ, with 34 years of industry experience. Steven operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include High Net Worth, Investment Management. Their firm serves 22 clients with $24M in assets under management.
Compensation
Fee-Only (% of Portfolio)
Firm Size
1 advisor
Number of Clients
22 clients
Average Client Portfolio
$1.1M average
Assets Under Management
$24.3M
Fee Structure
Minimum Investment:None
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 1.00% |
Fees are negotiable.
Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
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Location
Cave Creek, AZ
Get directionsHistory
Regulatory History (2)
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Regulatory
May 2007Final
Employment Separation After Allegations
May 2005Employment History
Current Registrations
Raymond John Management LLC
October 2024 - Present · 1 yr 7 mos
Previous Registrations
Straightline
December 2010 - May 2024 · 13 yrs 5 mos
Straightline
April 2007 - July 2007 · 3 mos
Citigroup Global Markets INC.Broker
January 2002 - June 2005 · 3 yrs 5 mos
Morgan Stanley Dw INC.Broker
August 1997 - January 2002 · 4 yrs 5 mos
Painewebber IncorporatedBroker
March 1994 - September 1997 · 3 yrs 6 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
June 1986 - March 1994 · 7 yrs 9 mos
State Registrations2 states
AZTX
Advisor
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.
Exams
No exam information available for this advisor.