Steven James Hocking

Financial advisor at Raymond James & Associates, Inc. · Irvine, CA

Last updated 2026-10-10

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Steven James Hocking is a financial advisor at Raymond James & Associates, Inc. in Irvine, CA, CRD 4506824. Licenses and exams on the registration: Series 63, Series 66. IAPD registration began 2004-06-10.

Registration

CRD number
4506824
Registration status
Active
IAPD registration
2004-06-10
Industry Experience
22 years
Work Experience
17 years
States registered
CA, TX, UT

Licenses and exams

  • Series 63
  • Series 66

Work history

  • 2009-01 to 2024-01 · UBS Financial Services Inc. · Irvine, CA
  • 2024-01 to Present · Raymond James & Associates · Irvine, CA

Current employment

SEC IAPD record for Steven James Hocking

Raymond James & Associates, Inc.

Regulatory AUM
$500,955,604,975
Registered advisors
5,800
Offices
1,828
Clients per advisor
91.7 (Moderate)
Average AUM per client
$942.3K (Low)
High-net-worth client ratio
18.7% (Moderate)

Raymond James & Associates, Inc.: advisors, services and reported ETF investments

About

Steven James Hocking is a financial advisor at Raymond James & Associates, Inc. in Irvine, CA. Reported securities licenses include Series 63 and Series 66. The latest record indicates 22 years of industry experience and 17 years of reported work history. Reported roles include Raymond James & Associates, UBS Financial Services Inc..

Raymond James & Associates, Inc.'s firm-level Form ADV reports 5,800 advisors across 1,828 offices; approximately 91.7 clients per advisor, average assets per client of $942,324, and regulatory AUM of $501B; client categories including Individuals (non-HNW), High net worth individuals, Banking or thrift institutions, Pension and profit-sharing plans, Charitable organizations, State or municipal government entities; services including Financial Planning Services, Portfolio Management: Individuals and Small Businesses, Portfolio Management: Businesses or Institutional Clients, Pension Consulting Services, Selection of Other Advisers.

What this firm offers

Filed by Raymond James & Associates, Inc. on Form ADV.

Client services

  • Financial Planning Services
  • Individuals and Small Businesses
  • Businesses or Institutional Clients
  • Pension Consulting Services
  • Selection of Other Advisers
  • Educational Seminars or Workshops
  • Other Advisory Service

Fee options

  • Percentage of Assets Under Management
  • Hourly Charges
  • Fixed Fees (Other Than Subscription)
  • Commissions

Business and affiliations

  • Broker-Dealer (Registered or Unregistered)
  • Insurance Broker or Agent
  • Registered Municipal Advisor
  • Sells Non-Advisory Products or Services
  • Broker-Dealer or Municipal Securities Dea
  • Other Investment Adviser (Incl. Financial
  • Registered Municipal Advisor
  • Banking or Thrift Institution
  • Trust Company
  • Insurance Company or Agency
  • Pension Consultant
  • Sponsor or Syndicator of Limited Partners

Location

400 Spectrum Center Dr, Irvine, CA 92618

10 advisors at this office.

Raymond James office in Irvine, CA

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Contact

The firm's filed contact details.

Official record

View the official SEC IAPD record

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