Steven James Hocking

Employer firm

Raymond James & Associates, Inc. CRD 705

$501B regulatory AUM 2,231 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers

Raymond James & Associates, Inc.

880 Carillon Parkway, St. Petersburg, FL 33716 • United States

Current Registrations

Authority	Category	Status	Date
UT	RA	APPROVED	2024-06-21
TX	RA	APPROVED_RES	2024-01-24
CA	RA	APPROVED	2024-01-09

UT RA
APPROVED

Since 2024-06-21
TX RA
APPROVED_RES

Since 2024-01-24
CA RA
APPROVED

Since 2024-01-09

Branch Locations

400 Spectrum Center Dr Suite 1750, Irvine, CA 92618 • United States

14508 N Asher Way, Hideout, UT 84036 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Ubs Financial Services Inc.	Irvine	CA	01/2009	01/2024
Raymond James & Associates	Irvine	CA	01/2024	Present

01/2009 → 01/2024

Ubs Financial Services Inc.

Irvine, CA
01/2024 → Present

Raymond James & Associates

Irvine, CA

Previous Registrations

2009-01-26 → 2024-01-18

Ubs Financial Services Inc.

Irvine, CA

Kamas, UT

Kansas, UT
2004-06-10 → 2009-01-27

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Santa Ana, CA

Newport Beach, CA

Newport Beach, CA

Newport Beach, CA

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2004-06-09
S63	Uniform Securities Agent State Law Examination	2002-04-08

S66 Uniform Combined State Law Examination

2004-06-09
S63 Uniform Securities Agent State Law Examination

2002-04-08

View on SEC IAPD