SW
SW
Steven Weisberg
45 Years of Experience
Hallandale Beach, FL
1 DisclosureBroker
Steven Weisberg is a registered investment advisor at Raymond James & Associates, INC., based in Hallandale Beach, FL, with 45 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
Loading...
Location
1010 S Federal Highway, Suite 2002, Hallandale Beach, FL, 33009
Get directionsHistory
Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
February 1998Closed-No Action
Employment History
Current Registrations
Raymond James & Associates, INC.
October 2011 - Present · 14 yrs 7 mos
Raymond James & Associates, INC.Broker
September 2011 - Present · 14 yrs 8 mos
Raymond James & Associates, INC.
September 2011 - Present · 14 yrs 8 mos
Previous Registrations
Morgan Stanley Smith BarneyBroker
June 2009 - October 2011 · 2 yrs 4 mos
Morgan Stanley Smith Barney LLC
June 2009 - October 2011 · 2 yrs 4 mos
Morgan Stanley & CO. IncorporatedBroker
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley & CO. Incorporated
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley
February 2003 - April 2007 · 4 yrs 2 mos
Morgan Stanley Dw INC.Broker
February 2003 - April 2007 · 4 yrs 2 mos
Salomon Smith Barney INC.
May 1994 - February 2003 · 8 yrs 9 mos
Salomon Smith Barney INC.Broker
May 1994 - February 2003 · 8 yrs 9 mos
Prudential Securities IncorporatedBroker
January 1989 - June 1994 · 5 yrs 5 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
February 1981 - February 1989 · 8 yrs
State Registrations16 states
AZCACOFLGAILMAMDNCNHNJNYOHPATXWA
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.