Stephen L. Henderson
Professional summary
Stephen Lawrence Henderson MR., who also goes by Stephen Lawrence Henderson, Steve Henderson, is a registered financial advisor currently at RBC PRIVATE COUNSEL (USA) INC. .
Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Stephen has worked at 2 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Lawrence Henderson MR.'s CRS (Customer Relationship Summary).
Certified licenses
Experience
January 26, 2007 - Present
RBC PRIVATE COUNSEL (USA) INC.
Office #1: 360 George Street North, Suite 300, Peterborough, Ontario, K9J 7E7February 27, 1995 - April 6, 2001
RBC CAPITAL MARKETS CORPORATION
Primary Firm SEC Registration
RBC PRIVATE COUNSEL (USA) INC.
CRD#: 109648 / SEC#: 801-55491
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(1/26/2007)
Exams
Current Firm
RBC PRIVATE COUNSEL (USA) INC.
CRD#: 109648 / SEC#: 801-55491
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 8,556 |
| AUM (Assets Under Management) | $ 6,827,149,933 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2025 | ||
| 10/28/2024 | ||
| 09/28/2023 | ||
| 01/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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Company Information
RBC PRIVATE COUNSEL (USA) INC.
CRD#: 109648Peterborough, Ontario, K9J 7E7TRUST BUT VERIFY
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