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Inactive

Steven Fisher Mosshart

Raymond John Management LLC

Cave Creek, AZ

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Current Employers
Raymond John Management Llc

Cave Creek, AZ • United States

Current Registrations

AuthorityCategoryStatusDate
AZ RA APPROVED 2024-11-21
TX RA APPROVED_RES 2024-10-30
  • AZ RA
    APPROVED
    Since 2024-11-21
  • TX RA
    APPROVED_RES
    Since 2024-10-30

Branch Locations

Cave Creek, AZ • United States

Disclosures

3 disclosure categories 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 Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Straightline Troy MI 06/2005 04/2024
Raymond John Financial Management Cave Creek AZ 08/2024 Present
Retired Cave Creek AZ 04/2024 08/2024
  • 06/2005 → 04/2024
    Straightline
    Troy, MI
  • 08/2024 → Present
    Raymond John Financial Management
    Cave Creek, AZ
  • 04/2024 → 08/2024
    Retired
    Cave Creek, AZ
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2010-10-15
S63 Uniform Securities Agent State Law Examination 1986-07-17
  • S65 Uniform Investment Adviser Law Examination
    2010-10-15
  • S63 Uniform Securities Agent State Law Examination
    1986-07-17
Other Names
  • Steven F Mosshart

View on SEC IAPD

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