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Steven Ringquist

28 Years of Experience
Denver, CO
Broker

Steven Ringquist is a registered investment advisor at Raymond James & Associates, INC., based in Denver, CO, with 28 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 531,617 clients with $500B in assets under management.

Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5669 advisors
IM Fee
Planning only
Assets Under Management
$501.0B

Fee Structure

Investment management only (planning not offered)
Hourly Rate:Up to $400/hr
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Location

4643 South Ulster Street, Suite 1350, Denver, CO, 80237

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Employment History
Current Registrations
Raymond James & Associates, INC.Broker
April 2012 - Present · 14 yrs 5 mos
Raymond James & Associates, INC.
April 2012 - Present · 14 yrs 5 mos
Previous Registrations
Morgan Stanley Smith BarneyBroker
June 2009 - April 2012 · 2 yrs 10 mos
Morgan Stanley Smith Barney LLC
June 2009 - April 2012 · 2 yrs 10 mos
Citigroup Global Markets INC.
February 2001 - June 2009 · 8 yrs 4 mos
Citigroup Global Markets INC.Broker
January 1999 - June 2009 · 10 yrs 5 mos
Dean Witter Reynolds INC.Broker
May 1997 - September 1998 · 1 yr 4 mos
State Registrations30 states
ARAZCACOCTDCFLGAIAIDKSKYLAMAMDMINCNENJNMNVNYOHOKORPATXUTWAWI
AdvisorBrokerBoth

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Exams
No exam information available for this advisor.
Steven Ringquist - Financial Advisor | TrueAdvisor