SR
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Steven Rozencwaig

34 Years of Experience
New York, NY
Broker

Steven Rozencwaig is a registered investment advisor at Raymond James & Associates, INC., based in New York, NY, with 34 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

320 Park Avenue, Fl 9, New York, NY, 10022

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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.
February 2023 - Present · 3 yrs 3 mos
Raymond James & Associates, INC.
February 2023 - Present · 3 yrs 3 mos
Raymond James & Associates, INC.Broker
February 2023 - Present · 3 yrs 3 mos
Previous Registrations
UBS Financial Services INC.
December 2007 - February 2023 · 15 yrs 2 mos
UBS Financial Services INC.Broker
April 2005 - February 2023 · 17 yrs 10 mos
Salomon Brothers INC.Broker
February 1998 - September 1998 · 7 mos
Citigroup Global Markets INC.Broker
May 1995 - April 2005 · 9 yrs 11 mos
Painewebber IncorporatedBroker
January 1995 - June 1995 · 5 mos
Kidder, Peabody & CO. IncorporatedBroker
September 1991 - January 1995 · 3 yrs 4 mos
State Registrations12 states
CACTFLILKYMDNJNYPATNTXVA
AdvisorBrokerBoth

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Exams
No exam information available for this advisor.