DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
Steven Roger Cross
Feed of 09/14/2026
Also filed as Steven R Cross
At current firm
7 y
since Nov 16, 2018
In the industry
40 y
since Oct 1, 1985 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Lifemark Securities Corp. BD affiliated currentsince Nov 16, 2018 · Ocala, Fl
- Foresters Equity Services, Inc. formerJan 5, 2016 to Nov 6, 2018 · Marietta, Ga
- Kovack Advisors, Inc. BD affiliatedJan 2, 2015 to Dec 31, 2015 · Marietta, Ga
- Resource Horizons Investment Advisory, Inc. formerFeb 6, 2013 to Dec 31, 2014 · Marietta, Ga
- New England Securities Corporation formerFeb 20, 2003 to Feb 7, 2013 · Atlanta, Ga
Moves
a registration end followed by a registration begin elsewhere
- Foresters Equity Services, Inc. to Lifemark Securities Corp.left Nov 6, 2018, registered Nov 16, 2018 (10 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- Kovack Advisors, Inc. to Foresters Equity Services, Inc.left Dec 31, 2015, registered Jan 5, 2016 (5 days) · Other
- Resource Horizons Investment Advisory, Inc. to Kovack Advisors, Inc.left Dec 31, 2014, registered Jan 2, 2015 (2 days) · corporate re-registration, not a move
- New England Securities Corporation to Resource Horizons Investment Advisory, Inc.left Feb 7, 2013, registered Feb 6, 2013 (-1 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address