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Steven Hocking
23 Years of Experience
Irvine, CA
1 DisclosureBroker
Steven Hocking is a registered investment advisor at Raymond James & Associates, INC., based in Irvine, CA, with 23 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
400 Spectrum Center Dr, Suite 1750, Irvine, CA, 92618
Get directionsHistory
Regulatory History (1)
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Customer Dispute
April 2021Settled
Employment History
Current Registrations
Raymond James & Associates, INC.
January 2024 - Present · 2 yrs 6 mos
Raymond James & Associates, INC.Broker
January 2024 - Present · 2 yrs 6 mos
Previous Registrations
UBS Financial Services INC.
January 2009 - January 2024 · 15 yrs
UBS Financial Services INC.Broker
January 2009 - January 2024 · 15 yrs
Merrill Lynch, Pierce, Fenner & Smith Incorporated
June 2004 - January 2009 · 4 yrs 7 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
March 2004 - January 2009 · 4 yrs 10 mos
Farmers Financial Solutions, LLCBroker
March 2002 - March 2004 · 2 yrs
State Registrations21 states
ARAZCACOFLGAHIIDMDMNNCNJNVNYOHORPATNTXUTVA
AdvisorBrokerBoth
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.