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Stephen Charles Neff

Raymond James & Associates, Inc.

Tucson, AZ

Tucson, AZ

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Current Employers
Raymond James & Associates, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2024-05-02
AZ RA APPROVED 2017-07-13
  • TX RA
    APPROVED_RES
    Since 2024-05-02
  • AZ RA
    APPROVED
    Since 2017-07-13

Branch Locations

5285 East Williams Circle Suite 5500, Tucson, AZ 85711 • United States

Tucson, AZ • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Tucson AZ 10/1977 07/2017
Raymond James & Associates, Inc. Tucson AZ 07/2017 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-10-30
S63 Uniform Securities Agent State Law Examination 1981-05-01
  • S65 Uniform Investment Adviser Law Examination
    1996-10-30
  • S63 Uniform Securities Agent State Law Examination
    1981-05-01
Other Names
  • Steve Neff

View on SEC IAPD

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IRONWOOD FINANCIAL, LLC · TUCSON, AZ
IRONWOOD FINANCIAL, LLC · TUCSON, AZ
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · TUCSON, AZ
WELLS FARGO CLEARING SERVICES, LLC · TUCSON, AZ
ALLSTATE FINANCIAL ADVISORS, LLC · Tucson, AZ
AIO FINANCIAL, LLC · TUCSON, AZ
EDWARD JONES · TUCSON, AZ
FINANCIAL DIRECTIONS LLC · TUCSON, AZ

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