Steven Lee Grossman

Current Employers

Raymond James & Associates, Inc.

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2021-04-15
FL	RA	APPROVED	2018-05-15

TX RA
APPROVED_RES

Since 2021-04-15
FL RA
APPROVED

Since 2018-05-15

Branch Locations

8120 Lakewood Main Street Suite 201, Lakewood Ranch, FL 34202 • 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	Sarasota	FL	03/2009	05/2018
Raymond James & Associates	Lakewood Ranch	FL	05/2018	Present

03/2009 → 05/2018

Ubs Financial Services Inc

Sarasota, FL
05/2018 → Present

Raymond James & Associates

Lakewood Ranch, FL

Previous Registrations

2009-04-02 → 2018-05-15

Ubs Financial Services Inc.

Sarasota, FL
1999-06-03 → 2009-04-15

Citigroup Global Markets Inc.

Sarasota, FL

Sarasota, FL

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-06-25
S63	Uniform Securities Agent State Law Examination	1999-06-04

S65 Uniform Investment Adviser Law Examination

1999-06-25
S63 Uniform Securities Agent State Law Examination

1999-06-04

View on SEC IAPD

Current Employers

Raymond James & Associates, Inc.

Disclosures

Employment History

Previous Registrations

Exams

Other Firms

Other Investors

Other Offices

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