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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultantdual registered (broker-dealer)17 years in industry

Steven Daniel Spivey

Advisor at RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Granger, IN | South Bend, IN

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Search this name across graphsid dfx:ria:8a506d97-6b29-c969-2af2-565a875c3e05

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:25 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Dec 22, 2008 to Sep 15, 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 19, 2008earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner|Chartered Financial Consultant
Exams: S66
First exam: Dec 19, 2008
First registration: Dec 22, 2008
Dual registered: yes, broker-dealer
Other names: Steve Spivey
IAPD individual key: 5575764

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	May 2, 2025	n/a	yes	Granger, IN\|South Bend, IN	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	May 18, 2022	May 21, 2025	no	GRANGER, IN\|GRANGER, IN\|ELKHART, IN	Previous registration
CUNA BROKERAGE SERVICES, INC.	Former SEC adviser	Aug 11, 2011	May 18, 2022	no	ELKHART, IN\|GRANGER, IN\|Elkhart, IN\|Granger, IN	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Dec 22, 2008	Aug 4, 2011	no	MISHAWAKA, IN\|MISHAWAKA, IN	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
LPL FINANCIAL LLC	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	May 21, 2025	May 2, 2025	-19	Firm change	Ibd to ibd
CUNA BROKERAGE SERVICES, INC.	LPL FINANCIAL LLC	May 18, 2022	May 18, 2022	0	Bulk transfer	Ibd to RIA
AMERIPRISE FINANCIAL SERVICES, LLC	CUNA BROKERAGE SERVICES, INC.	Aug 4, 2011	Aug 11, 2011	7	Firm change	Other

Relationships

Registered with (4)

→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: current employment
May 2, 2025 to presentfactForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
May 18, 2022 to May 21, 2025factForm ADV
→ CUNA BROKERAGE SERVICES, INC.Registered adviserregistration: previous registration
Aug 11, 2011 to May 18, 2022factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Dec 22, 2008 to Aug 4, 2011factForm ADV

Dated events

Occurred
May 21, 2025
Advisor changed firm
Steven Daniel Spivey left Lpl Financial Llc for Raymond James Financial Services Advisors, Inc (registered 2025-05-02)
Form ADVobserved 4 days ago