Stephen Michael Pincin

Employer firm

Raymond James Financial Services Advisors, Inc CRD 149018

$390B regulatory AUM 5,542 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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2016 → Present
  Raymond James Financial Services, Inc.
  Brea, CA
• 06/2016 → Present
  Raymond James Financial Services Advisors Inc.
  Brea, CA

Previous Registrations

• 2008-12-15 → 2016-06-23
  Wells Fargo Advisors Financial Network, Llc
  Brea, CA
• 2002-10-04 → 2008-12-16
  Wells Fargo Clearing Services, Llc
  Anaheim, CA
  Anaheim, CA
• 1998-09-03 → 2002-10-28
  Ubs Financial Services Inc.
  Brea, CA

Other Businesses

(1)Name of Business: Legacy Wealth Management, LLC Address: 15615 Alton Parkway, Suite 230, Irvine, CA, 92618, United States Activity Type: Support Company - Owner Position/Title: Officer - Treasurer, Officer - CEO, Officer - President, Officer - Secretary Investment Related: No Start Date: 10/01/2008 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Business owner using this DBA (2)Name of Business: SMP Group, Inc Address: 89 Via Bella, Rancho Mirage, CA, 92270, United States Activity Type: Business Owner Position/Title: Officer - Treasurer, Owner/Proprietor, Officer - CEO, Officer - President, Officer - Secretary Investment Related: Yes Start Date: 01/01/2006 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: I own SMP Group, Inc. where I build, sell and manage my personal real estate holdings. I have no clients invested in any of my properties and do not solicit them in anyway.

Exams

• S65 Uniform Investment Adviser Law Examination
  1994-09-23
• S63 Uniform Securities Agent State Law Examination
  1994-09-21

Other Names

• Steve Pincin