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

Stephen L Paneral

Raymond James & Associates, Inc.national BDGrand Rapids, Mi dual registrantIAPD 1473186

Feed of 09/15/2026

Also filed as Stephen L Paneral

At current firm

3 y

since Aug 3, 2023

In the industry

33 y

since Nov 13, 1992 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Raymond James & Associates, Inc. national BD current
since Aug 3, 2023 · Grand Rapids, Mi
Huntington Financial Advisors BD affiliated
Oct 14, 2021 to Mar 23, 2022 · Grand Rapids, Mi
Cetera Investment Advisers LLC BD affiliated
Jun 6, 2017 to Oct 13, 2021 · Byron Center, Mi
LPL Financial LLC BD affiliated
Jan 18, 2017 to May 31, 2017 · Grand Rapids, Mi
Charles Schwab & Co., Inc. national BD
Feb 4, 2016 to Dec 8, 2016 · Park Ridge, Il
Essex National Securities, Inc. former
Oct 12, 2010 to Dec 8, 2015 · Troy, Mi
Citizens Securities, Inc. BD affiliated
Jun 26, 2009 to Sep 24, 2010 · Naperville, Il
Fifth Third Securities, Inc. BD affiliated
Oct 11, 2005 to May 21, 2009 · Allegan, Mi
Pnc Wealth Management BD affiliated
Jan 1, 2004 to Apr 13, 2005 · Pittsburgh, Pa
J.J.B. Hilliard, W.L. Lyons, LLC former
May 28, 2003 to Jan 1, 2004 · Louisville, Ky

Moves

a registration end followed by a registration begin elsewhere

Huntington Financial Advisors to Raymond James & Associates, Inc.
left Mar 23, 2022, registered Aug 3, 2023 (498 days) · Affiliated broker-dealer or bank to another
Cetera Investment Advisers LLC to Huntington Financial Advisors
left Oct 13, 2021, registered Oct 14, 2021 (1 days) · Affiliated broker-dealer or bank to another · moved with a team
LPL Financial LLC to Cetera Investment Advisers LLC
left May 31, 2017, registered Jun 6, 2017 (6 days) · Other
Charles Schwab & Co., Inc. to LPL Financial LLC
left Dec 8, 2016, registered Jan 18, 2017 (41 days) · Other
Essex National Securities, Inc. to Charles Schwab & Co., Inc.
left Dec 8, 2015, registered Feb 4, 2016 (58 days) · Other
Citizens Securities, Inc. to Essex National Securities, Inc.
left Sep 24, 2010, registered Oct 12, 2010 (18 days) · Other
Fifth Third Securities, Inc. to Citizens Securities, Inc.
left May 21, 2009, registered Jun 26, 2009 (36 days) · Other
Pnc Wealth Management to Fifth Third Securities, Inc.
left Apr 13, 2005, registered Oct 11, 2005 (181 days) · Other
J.J.B. Hilliard, W.L. Lyons, LLC to Pnc Wealth Management
left Jan 1, 2004, registered Jan 1, 2004 (0 days) · corporate re-registration, not a move

Signals

Stephen L Paneral left Huntington Financial Advisors for Raymond James & Associates, Inc. (registered 2023-08-03)
Mar 23, 2022 · Advisor changed firm · fact

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: National broker-dealer RIAderived
Years in industry: 33derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address