Stephen Joseph Adler

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:

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

Current Employers

Employment History

• 11/2016 → 06/2018
  Wells Fargo Clearing Services, Llc
  New York, NY
• 06/2018 → Present
  Raymond James & Associates
  New York, NY
• 05/2009 → 11/2016
  Wells Fargo Advisors Llc
  New York, NY

Previous Registrations

• 2006-05-16 → 2018-07-03
  Wells Fargo Clearing Services, Llc
  New York, NY

Other Businesses

(1)Name of Business: Adler, Stephen & Meryl Address: 1 Whippoorwill Close, Chappaqua, NY, 10514, United States Activity Type: Control Person Position/Title: Trustee (Acting) Investment Related: Yes Start Date: 06/29/2018 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Trustee Delegate (2)Name of Business: OCP - Orchard Capital Partners Address: 1 Whippoorwill Close, Chappaqua, NY, 10514, United States Activity Type: Business Owner Position/Title: Partner Investment Related: Yes Start Date: 01/01/2013 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Partner (3)Name of Business: Orchard Capital Partners -OCP Address: 1 Whippoorwill Close, Chappaqua, NY, 10514, United States Activity Type: Rental Real Estate Position/Title: Partner Investment Related: Yes Start Date: 06/01/2010 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Investor Owner- PROPERTY HAS A MANAGING AGENT

Exams

• S65 Uniform Investment Adviser Law Examination
  1994-07-20
• S63 Uniform Securities Agent State Law Examination
  1979-09-10