Steven A. Cartwright

PER STIRLING CAPITAL MANAGEMENT

Austin, TX 78759

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CRD#: 2391083

Professional summary

Steven Allen Cartwright, CFP®, who also goes by Steve Cartwright, is a registered financial advisor currently at PER STIRLING CAPITAL MANAGEMENT, LLC located in Austin, Texas and B.B. GRAHAM & COMPANY, INC. located in Austin, Texas.

Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Steven has worked at 14 firms and has passed the Series 66, Series 63, Series 99TO, Series 57TO, Series 52TO, SIE, Series 3, Series 55, Series 7, Series 53, Series 30, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Steve Cartwright

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.

1) PER STIRLING PRIVATE WEALTH - INVESTMENT RELATED; ADDRESS: 4800 BEE CAVES RD, AUSTIN, TX,78746; NATURE: DBA OF PER STIRLING CAPITAL MANAGEMENT, LLC; POSITION: CLIENT RELATIONSHIP MANAGER; STATE DATE: 9/2023; NUMBER OF HOURS PER MONTH: 160 TOTAL WITH 100 DURING TRADING HOURS. ADDITIONAL OUTSIDE BUSINESS ACTIVITIES APPROVED BY PER STIRLING CAPITAL MANAGEMENT, LLC: 2) B .B. GRAHAM & COMPANY - INVESTMENT RELATED; ADDRESS: 4800 BEE CAVES RD, AUSTIN, TX, 78746; NATURE OF BUSINESS: BROKER-DEALER, POSITION: REGISTERED REPRESENTATIVE; START DATE: 9/2023. ADDITIONAL OUTSIDE BUSINESS ACTIVITIES APPROVED BY B. B. GRAHAM & CO., Inc.: 3) PER STIRLING CAPITAL MANAGEMENT, LLC - INVESTMENT RELATED; ADDRESS: 4800 BEE CAVES RD, AUSTIN, TX, 78746; NATURE OF BUSINESS: REGISTERED INVESTMENT ADVISER; POSITION: INVESTMENT ADVISOR REPRESENTATIVE; START DATE: 9/2023

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Allen Cartwright's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

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

CFP^®

Certified Financial Planner

Experience

Current

September 29, 2023 - Present

PER STIRLING CAPITAL MANAGEMENT, LLC

Office #1: 4900 Spicewood Springs Road Suite 300, Austin, TX 78759

RIA

CRD#: 151671

Austin, TX

Current

November 7, 2023 - Present

B.B. GRAHAM & COMPANY, INC.

Office #1: 4800 Bee Cave Drive, Austin, TX 78746

RIA

CRD#: 41533

Austin, TX

Past

March 24, 2021 - September 18, 2023

ASCENSUS INVESTMENT ADVISORS, LLC

RIA

CRD#: 120632

Austin, TX

Past

March 16, 2021 - September 18, 2023

ASCENSUS BROKER DEALER SERVICES, LLC

CRD#: 36478

NEWTON, MA

Past

August 19, 2016 - November 14, 2017

OPTIONSXPRESS, INC.

CRD#: 103849

AUSTIN, TX

Past

May 12, 2008 - November 22, 2019

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Austin, TX

Past

May 17, 2007 - November 22, 2019

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Austin, TX

Past

March 1, 2004 - December 7, 2007

CYBERTRADER, INC.

CRD#: 44523

AUSTIN, TX

Past

June 19, 2003 - November 7, 2003

ELECTRONIC TRADING GROUP, LLC

CRD#: 37453

NEW YORK, NY

Past

September 7, 2000 - December 6, 2000

KERSHNER TRADING GROUP, LLC

CRD#: 16908

AUSTIN, TX

Past

June 4, 1998 - June 19, 2003

PROTRADER SECURITIES L.P.

CRD#: 35233

AUSTIN, TX

Past

September 25, 1996 - May 17, 1998

CHOICE INVESTMENTS, INC.

CRD#: 17665

AUSTIN, TX

Past

February 26, 1996 - August 22, 1996

SELF TRADING SECURITIES, INC.

CRD#: 38439

AUSTIN, TX

Past

November 1, 1993 - February 28, 1995

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

November 1, 1993 - February 28, 1995

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

PER STIRLING CAPITAL MANAGEMENT, LLC

PER STIRLING | PER STIRLING PRIVATE WEALTH | PER STIRLING INVESTMENTS | PER STIRLING GROUP, LLC | PER STIRLING CAPITAL MANAGEMENT, LLC

CRD#: 151671 / SEC#: 801-70707

RIA

Registered Investment Advisory firm - (10/28/2009 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

Texas
(9/29/2023)

Texas
(11/7/2023)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/9/2008

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/10/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 11/7/2023

Operations Professional Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 2/15/2000

National Commodity Futures Examination

General Industry/Product Exam

Series 55

Date: 8/13/1998

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 10/29/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 3/7/2008

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 30

Date: 7/10/2000

NFA Branch Manager Examination

Principal/Supervisory Exam

Series 4

Date: 11/16/1998

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 4/26/1996

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

PER STIRLING CAPITAL MANAGEMENT, LLC

PER STIRLING | PER STIRLING PRIVATE WEALTH | PER STIRLING INVESTMENTS | PER STIRLING GROUP, LLC | PER STIRLING CAPITAL MANAGEMENT, LLC

CRD#: 151671 / SEC#: 801-70707

RIA

Registered Investment Advisory firm - (10/28/2009 Approved)

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Contact information

Main Address

4800 Bee Caves Road, Austin, TX 78746

Mailing Address

Phone number

(512) 628-2300

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (21 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2025-03-28 PSCM FORM ADV PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	3,584
AUM (Assets Under Management)	$ 1,387,216,441

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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Advisor Monitoring

Firm Stability Insights

Steven A. Cartwright

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Allen Cartwright's CRS (Customer Relationship Summary).

Certified licenses

Experience

B.B. GRAHAM & COMPANY, INC.

ASCENSUS INVESTMENT ADVISORS, LLC

ASCENSUS BROKER DEALER SERVICES, LLC

OPTIONSXPRESS, INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

CYBERTRADER, INC.

ELECTRONIC TRADING GROUP, LLC

KERSHNER TRADING GROUP, LLC

PROTRADER SECURITIES L.P.

CHOICE INVESTMENTS, INC.

SELF TRADING SECURITIES, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

PER STIRLING CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/9/2008

Series 63

Date: 11/10/1993

Series 99TO

Date: 11/7/2023

Series 57TO

Date: 1/2/2023

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 2/15/2000

Series 55

Date: 8/13/1998

Series 7

Date: 10/29/1993

Series 53

Date: 3/7/2008

Series 30

Date: 7/10/2000

Series 4

Date: 11/16/1998

Series 24

Date: 4/26/1996

FINRA

Current Firm

PER STIRLING CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (21 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PER STIRLING CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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