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Detailed Report
STEPHEN MARK WORMELI
STEVE MARK WORMELI
CRD#: 2192250
IA
Investment Adviser
B
Broker
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCCRD#: 149018 40 LAKE BELLEVUE DRIVE
SUITE 280
BELLEVUE, WA 98005
RAYMOND JAMES FINANCIAL SERVICES, INC.CRD#: 6694 40 LAKE BELLEVUE DRIVE
SUITE 280
BELLEVUE, WA 98005
Registration History
1995200020052010201520202025IARAYMOND JAMES FINANCIAL SERVIC... (CRD# 149018)2009 - Present (16 years)BRAYMOND JAMES FINANCIAL SERVIC... (CRD# 6694)1999 - Present (26 years)BROBERT THOMAS SECURITIES, INC (CRD# 10147)1997 - 1999 (1 year)BFIRST MONTAUK SECURITIES CORP. (CRD# 13755)1996 - 1997 (<1 year)BA. G. EDWARDS & SONS, INC. (CRD# 4)1994 - 1996 (1 year)BPAINEWEBBER INCORPORATED (CRD# 8174)1993 - 1994 (1 year)BEVEREN SECURITIES, INC. (CRD# 19616)1992 - 1993 (1 year)IARAYMOND JAMES FINANCIAL SERVICES (CRD# 6694)1999 - 2009 (9 years)
License(s)

State Registrations

B
Arizona 5/13/2010
B
Ohio 6/14/2019
B
California 1/4/1999
B
Oregon 1/4/1999
B
Colorado 2/3/2025
B
South Dakota 1/31/2025
B
Florida 1/3/2012
B
Texas 5/22/2009
B
Idaho 1/4/2019
IA
Texas 9/18/2009
B
Illinois 12/14/2015
B
Utah 1/22/2014
B
Maryland 7/14/2023
B
Virgin Islands 1/3/2024
B
Massachusetts 5/27/2022
B
Virginia 7/21/2004
B
Michigan 2/27/2018
B
Washington 1/4/1999
B
Minnesota 1/5/2015
IA
Washington 1/2/2009
B
Nevada 1/25/2018
B
Wyoming 1/26/2024
B
North Carolina 4/14/2015

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC (CRD#:149018)
40 LAKE BELLEVUE DRIVE SUITE 280, BELLEVUE, WA 98005
Registered with this firm since 1/2/2009
B
RAYMOND JAMES FINANCIAL SERVICES, INC. (CRD#:6694)
40 LAKE BELLEVUE DRIVE SUITE 280, BELLEVUE, WA 98005
Registered with this firm since 1/4/1999
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 04/09/1999 - 01/02/2009 RAYMOND JAMES FINANCIAL SERVICES (CRD#:6694) ST. PETERSBURG, FL
B
 02/21/1997 - 01/04/1999 ROBERT THOMAS SECURITIES, INC (CRD#:10147) ST. PETERSBURG, FL
B
 04/01/1996 - 02/25/1997 FIRST MONTAUK SECURITIES CORP. (CRD#:13755) RED BANK, NJ
B
 08/03/1994 - 04/02/1996 A. G. EDWARDS & SONS, INC. (CRD#:4) ST. LOUIS, MO
B
 07/24/1993 - 08/04/1994 PAINEWEBBER INCORPORATED (CRD#:8174) WEEHAWKEN, NJ
B
 07/30/1992 - 07/23/1993 EVEREN SECURITIES, INC. (CRD#:19616) ST. LOUIS, MO
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.