Steven E. Farris

AQUILANT ADVISORS

St. Louis, MO 63131

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CRD#: 3240243

Professional summary

Steven Edward Farris, who also goes by Steve Farris, Steven E Farris, is a registered financial advisor currently at AQUILANT ADVISORS located in St. Louis, Missouri and CAMBRIDGE INVESTMENT RESEARCH, INC. located in St. Louis, Missouri.

Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Steven has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Steve Farris | Steven E Farris

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-Aquilant Advisors/Lobscouser II LLC, 555 MARYVILLE UNIVERSITY DR, STE 440, TOWN AND COUNTRY, MO, 2/2016 as Chief Compliance Officer/ADVISORY REP OF A RIA. Inv Rel - 1 hr/mo - 0/trading. 2.INDEPENDENT INSURANCE AGENT, 555 MARYVILLE UNIVERSITY DR, TOWN & COUNTRY, MD, 4/2016 FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. NIR - 2 HR/MO - 2/TRADING. 3.KIRK OF THE HILLS SCHOOL, 1298 LADUE RD, ST LOUIS, MO, 7/2016 AS FINANCE COMMITTEE MEMBER. NIR - 2 HR/MO - 0/TRADING. 4.LINCOLN FINANCIAL GROUP, GREENSBORO, NC, 6/2018 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 2/WK - 2/TRADING. 5.MUTUAL OF OMAHA, 300 MUTUAL OF OMAHA PLZ, OMAHA, NE, 7/2018 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 2/MO - 2/TRADING. 6. FARRIS WEALTH MANAGEMENT, 18601 EVANSWAY DR, WILDWOOD, MO, OWNER, 10/02/14, NIR, 0/YR, 0/TRADING

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Edward Farris'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®

None

Experience

Current

March 22, 2016 - Present

AQUILANT ADVISORS

Office #1: 12444 Powerscourt Dr. Suite 370, St. Louis, MO 63131

RIA

CRD#: 282953

St. Louis, MO

Current

October 20, 2014 - Present

CAMBRIDGE INVESTMENT RESEARCH, INC.

Office #1: 12444 Powerscourt Dr, Suite 370, St. Louis, MO 63131

CRD#: 39543

St. Louis, MO

Past

October 20, 2014 - October 21, 2016

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

Town and Country, MO

Past

August 16, 2013 - October 27, 2014

U.S. BANCORP INVESTMENTS, INC.

RIA

CRD#: 17868

CHESTERFIELD, MO

Past

August 16, 2013 - October 27, 2014

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

CHESTERFIELD, MO

Past

March 27, 2012 - August 23, 2013

FIFTH THIRD SECURITIES, INC.

CRD#: 628

ST. LOUIS, MO

Past

March 23, 2012 - August 23, 2013

FIFTH THIRD SECURITIES, INC.

RIA

CRD#: 628

ST. LOUIS, MO

Past

December 17, 2008 - March 26, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

CLAYTON, MO

Past

December 12, 2008 - March 26, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

CLAYTON, MO

Past

October 21, 2005 - December 15, 2008

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

ST. LOUIS, MO

Past

October 21, 2005 - December 15, 2008

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

April 26, 2001 - October 25, 2005

STIFEL, NICOLAUS & COMPANY, INCORPORATED

RIA

CRD#: 793

EDWARDSVILLE, IL

Past

January 2, 2001 - October 25, 2005

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

ST. LOUIS, MO

Past

August 2, 1999 - January 4, 2001

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

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".

AQUILANT ADVISORS

AQUILA ADVISORS | LOBSCOUSER II, LLC | AQUILANT ADVISORS | AQUILANT

CRD#: 282953 / SEC#: 801-114993

RIA

Registered Investment Advisory firm - (4/12/2019 Approved)

Illinois

Registered Investment Advisory firm - (4/12/2019 Terminated)

Missouri

Registered Investment Advisory firm - (4/17/2019 Terminated)

Texas

Registered Investment Advisory firm - (4/17/2019 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.

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

Arizona
(9/25/2024)

Colorado
(9/19/2024)

Connecticut
(3/9/2022)

District of Columbia
(9/26/2024)

Florida
(4/25/2016)

Georgia
(8/20/2019)

Illinois
(10/21/2014)

IAR

Illinois
(3/22/2016)

Indiana
(7/26/2019)

Kansas
(4/5/2019)

Maryland
(7/26/2018)

Minnesota
(2/15/2022)

Missouri
(10/20/2014)

IAR

Missouri
(4/14/2016)

New York
(7/18/2017)

North Carolina
(1/4/2024)

Ohio
(6/22/2016)

Pennsylvania
(7/18/2017)

South Carolina
(7/24/2025)

Tennessee
(2/4/2016)

Texas
(6/22/2016)

IAR

Texas
(5/8/2017)

Virginia
(1/3/2024)

Wisconsin
(1/3/2025)

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 65

Date: 8/13/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/12/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/30/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/4/2012

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

AQUILANT ADVISORS

AQUILA ADVISORS | LOBSCOUSER II, LLC | AQUILANT ADVISORS | AQUILANT

CRD#: 282953 / SEC#: 801-114993

RIA

Registered Investment Advisory firm - (4/12/2019 Approved)

Illinois

Registered Investment Advisory firm - (4/12/2019 Terminated)

Missouri

Registered Investment Advisory firm - (4/17/2019 Terminated)

Texas

Registered Investment Advisory firm - (4/17/2019 Terminated)

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Contact information

Main Address

12444 Powerscourt Dr. Suite 370, St. Louis, MO 63131

Mailing Address

Phone number

(314) 309-2078

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A DISCLOSURE BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	694
AUM (Assets Under Management)	$ 215,598,245

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 E. Farris

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Edward Farris's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH, INC.

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

U.S. BANCORP INVESTMENTS, INC.

U.S. BANCORP INVESTMENTS, INC.

FIFTH THIRD SECURITIES, INC.

FIFTH THIRD SECURITIES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

STIFEL, NICOLAUS & COMPANY, INCORPORATED

STIFEL, NICOLAUS & COMPANY, INCORPORATED

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

AQUILANT ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 8/13/1999

Series 63

Date: 8/12/1999

SIE

Date: 10/1/2018

Series 7

Date: 7/30/1999

Series 24

Date: 10/4/2012

FINRA

Current Firm

AQUILANT ADVISORS

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AQUILANT ADVISORS

TRUST BUT VERIFY

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