Samuel S. Stewart

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CRD#: 1817659

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Samuel Spencer Stewart JR, who also goes by Sam Stewart Jr, Sam Stewart, Samuel Stewart, was a registered financial professional .

Samuel is a previously registered financial professional and started their career in finance in 1991. Samuel had worked at 2 firms and has passed the Series 65, Series 63, Series 2 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Sam Stewart Jr | Sam Stewart | Samuel Stewart

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

October 31, 2018 - December 17, 2021

SEVEN CANYONS ADVISORS, LLC

RIA

CRD#: 290334

SALT LAKE CITY, UT

Past

December 23, 1991 - September 25, 2018

WASATCH ADVISORS LP

RIA

CRD#: 106081

SALT LAKE CITY, UT

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SEVEN CANYONS ADVISORS, LLC

ARK GLOBAL ASSET MANAGEMENT, LLC | SEVEN CANYONS ADVISORS, LLC

CRD#: 290334 / SEC#: 801-112404

RIA

Registered Investment Advisory firm - (2/5/2018 Approved)

Utah

Registered Investment Advisory firm - (10/12/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/15/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/15/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 2

Date: 11/3/1992

Non-Member General Securities Examination

Principal/Supervisory Exam

Series 26

Date: 12/29/1997

Investment Company Products/Variable Contracts Principal Examination

Current Firm

SEVEN CANYONS ADVISORS, LLC

ARK GLOBAL ASSET MANAGEMENT, LLC | SEVEN CANYONS ADVISORS, LLC

CRD#: 290334 / SEC#: 801-112404

RIA

Registered Investment Advisory firm - (2/5/2018 Approved)

Utah

Registered Investment Advisory firm - (10/12/2018 Terminated)

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Contact information

Main Address

22 East 100 South 3rd Floor, Salt Lake City, UT 84111

Mailing Address

Phone number

(801) 349-2718

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SEVEN CANYONS FORM ADV PARTS 2A AND 2B (3/31/2025)

Regulatory assets under management

Total Number of Accounts	4
AUM (Assets Under Management)	$ 121,604,728

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Samuel S. Stewart

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SEVEN CANYONS ADVISORS, LLC

WASATCH ADVISORS LP

Primary Firm SEC Registration

SEVEN CANYONS ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/15/1992

Series 63

Date: 3/15/1988

Series 2

Date: 11/3/1992

Series 26

Date: 12/29/1997

Current Firm

SEVEN CANYONS ADVISORS, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SEVEN CANYONS ADVISORS, LLC

TRUST BUT VERIFY

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