Stephen Florio has been an investment adviser representative at Rossby Financial since April 2024, and is not listed among the firm’s executive officers or direct owners.
Rossby Financial, LLC is a Melbourne, FL firm with $855M under management, 3,910 clients and 2 advisers across 19 offices, as of its July 2026 filing.
Stephen Florio’s longest registration was 9 years at Raymond James & Associates, Inc. (1994–2003). Before joining Rossby Financial in 2024, Stephen Florio was registered through Cambridge Investment Research Advisors, Inc. and Raymond James & Associates, Inc.
- Rossby Financial, LLCCurrent– present · 2 yearsMelbourne, FL · Adviser representative · Firm CRD 324631
- Cambridge Investment Research Advisors, Inc.– · 4 yearsFort Lauderdale, FL · Adviser representative · Firm CRD 134139
- Raymond James & Associates, Inc.– · 3 yearsFT. Lauderdale, FL · Adviser representative · Firm CRD 705
- Morgan Stanley– · 6 yearsFT. Lauderdale, FL · Adviser representative · Firm CRD 149777
- Morgan Stanley & Co. Incorporated– · 2 yearsFT. Lauderdale, FL · Adviser representative · Firm CRD 8209
- Morgan Stanley– · under a yearFT. Lauderdale, FL · Adviser representative · Firm CRD 7556
- Banc of America Investment Services, Inc.– · 3 yearsFT. Lauderdale, FL · Adviser representative · Firm CRD 16361
- Raymond James & Associates, Inc.– · 9 yearsFT Lauderdale, FL · Adviser representative · Firm CRD 705
Investment adviser representative registrations
Stephen Florio is registered as an investment adviser representative in Florida, since April 2024.
- FloridaSince 29 April 2024
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 13 February 2006 |
| Series 63 | Uniform Securities Agent State Law Examination | 13 October 1983 |
| Series 7 | General Securities Representative Examination | 17 September 1983 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Stephen Paul Florio
- CRD
- 1186577
- Firm
- Rossby Financial · CRD 324631
- Office
- 2412 IRWIN STREET, Melbourne, FL 32901
- Registration
- Investment adviser registration
- In the industry since
- February 1985
- Disciplinary history
- Not yet shown here · SEC record
Where does Stephen Florio work?
Stephen Florio is an investment adviser representative registered through Rossby Financial, LLC since April 2024, and is not listed among the firm’s executive officers or direct owners.
Is Stephen Florio a financial advisor?
Yes. Stephen Florio has a current investment-adviser registration in Florida, through Rossby Financial since April 2024.
How many years of experience does Stephen Florio have?
Stephen Florio has 41 years in the financial industry, since February 1985, across 7 adviser firms.
What exams has Stephen Florio passed?
Stephen Florio has passed 3 licensing exams: the Series 7, Series 63 and Series 66. The earliest, the Series 7, was passed in September 1983. FINRA credited Stephen Florio with the SIE, which began in October 2018.
Where did Stephen Florio work before Rossby Financial?
Before Rossby Financial, Stephen Florio was registered through Cambridge Investment Research Advisors, Inc., October 2018 to April 2023; Raymond James & Associates, Inc., June 2015 to August 2018; Morgan Stanley, June 2009 to July 2015; Morgan Stanley & Co. Incorporated, April 2007 to June 2009; Morgan Stanley, February 2007 to April 2007; Banc of America Investment Services, Inc., April 2003 to February 2007; Raymond James & Associates, Inc., January 1994 to April 2003.
Where is Stephen Florio based?
Stephen Florio’s registered office is in Melbourne, FL.
Is Stephen Florio registered with FINRA?
No. Stephen Florio has no current broker registration.
How can I verify Stephen Florio’s record?
Search CRD 1186577 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Stephen Florio’s full registration record.
- Marissa HarrisCCO
- Melissa ReaktenwaltEmployee Ownership - Class A and B Shares
- Kelly RennerEmployee Ownership - Class B Shares
- Jason RennerEmployee Ownership - Class B Shares
- Jennifer SzeklinskiEmployee Ownership - Class A and B Shares
- Frances TolerEmployee Ownership - Class B Shares
- Andrew EvansCEO
- Christopher MarsicoMember