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Shawn R. Canter

Some features on this profile are disabled
CRD#: 3107804
SC

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.

Shawn Robert Canter, who also goes by Shawn R Canter, was a registered financial professional .

Shawn is a previously registered financial professional and started their career in finance in 1998. Shawn had worked at 3 firms and has passed the Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Shawn R Canter

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

December 13, 2011 - March 25, 2013

INTELLIGENT EDGE SECURITIES, LLC

BD
CRD#: 129821
NEW YORK, NY
Past

May 4, 2007 - May 4, 2009

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

September 10, 1998 - November 25, 2002

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY

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.

Exams

State Security Law Exam
RR
Series 63
Date: 2/16/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 5/3/2007
General Securities Representative Examination

Current Firm

IE
INTELLIGENT EDGE SECURITIES, LLC
DCD SECURITIES, LLC | INTELLIGENT EDGE SECURITIES, LLC | HALLMARK CAPITAL SECURITIES, LLC

CRD#: 129821 / SEC#: , 8-66257

BD
Terminated by SEC on 01/29/2018
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 05/30/2003
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
INTELLIGENT EDGE ADVISORS, LLC100% OWNER
BOCZAR, THOMAS JOHNCEO/PRESIDENT/CHIEF COMPLIANCE OFFICER2148091
GENDRON, KAREN MARIEFINOP1503330

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.

Company Information

INTELLIGENT EDGE SECURITIES, LLC

CRD#: 129821

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