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RIA / WealthAdvisorChartered Financial Consultantdual registered (broker-dealer)21 years in industry

BARRY SCOTT STEELE

Advisor at RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

HARRODSBURG, KY

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Search this name across graphsid dfx:ria:076f73d5-9b62-71d7-b5b8-bc44419ae457

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:15 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jan 1, 2005 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 30, 2004earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 14derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Designations: Chartered Financial Consultant
Exams: S66
First exam: Dec 30, 2004
First registration: Jan 1, 2005
Dual registered: yes, broker-dealer
Other names: BARRY S STEELE
IAPD individual key: 4866686

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	Jul 16, 2012	n/a	yes	HARRODSBURG, KY	Current employment
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Oct 5, 2009	Jul 16, 2012	no	LOUISVILLE, KY	Previous registration
AMERIPRISE ADVISOR SERVICES, INC.	n/a	Dec 18, 2008	Oct 5, 2009	no	LOUISVILLE, KY	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Jan 6, 2006	Nov 17, 2008	no	LOUISVILLE, KY	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jan 1, 2005	Jan 10, 2006	no	LOUISVILLE, KY	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
AMERIPRISE FINANCIAL SERVICES, LLC	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Jul 16, 2012	Jul 16, 2012	0	Firm change	Other
AMERIPRISE ADVISOR SERVICES, INC.	AMERIPRISE FINANCIAL SERVICES, LLC	Oct 5, 2009	Oct 5, 2009	0	Bulk transfer	Other
UBS FINANCIAL SERVICES INC.	AMERIPRISE ADVISOR SERVICES, INC.	Nov 17, 2008	Dec 18, 2008	31	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	UBS FINANCIAL SERVICES INC.	Jan 10, 2006	Jan 6, 2006	-4	Firm change	Wirehouse to wirehouse

Relationships

Registered with (5)

→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: current employment
Jul 16, 2012 to presentfactForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Oct 5, 2009 to Jul 16, 2012factForm ADV
→ AMERIPRISE ADVISOR SERVICES, INC.Registered adviserregistration: previous registration
Dec 18, 2008 to Oct 5, 2009factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Jan 6, 2006 to Nov 17, 2008factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jan 1, 2005 to Jan 10, 2006factForm ADV

Dated events

No dated event names this entity yet.