Russell William Stein

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
TX	RA	APPROVED	2008-07-28

TX RA
APPROVED

Since 2008-07-28

Branch Locations

5847 San Felipe Street Ste 3900, Houston, TX 77057 • 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
Raymond James & Associates, Inc.	Houston	TX	03/2008	Present
Usca Ll&B Co-Investment Lp	Houston	TX	06/2017	03/2018

03/2008 → Present

Raymond James & Associates, Inc.

Houston, TX
06/2017 → 03/2018

Usca Ll&B Co-Investment Lp

Houston, TX

Previous Registrations

2001-05-31 → 2008-03-24

Morgan Keegan & Company, Llc

Houston, TX

Houston, TX

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1989-04-11

S63 Uniform Securities Agent State Law Examination

1989-04-11

View on SEC IAPD

Employer firm

Current Employers

Raymond James & Associates, Inc.

Disclosures

Employment History

Previous Registrations

Exams

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