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WC

Wade Canter

Some features on this profile are disabled
CRD#: 4265503
WC

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.

Wade Canter, who also goes by Wade Michael Canter, Canter Wade, was a registered financial professional .

Wade is a previously registered financial professional and started their career in finance in 2000. Wade had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 31 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Wade Michael Canter | Canter Wade

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. M&S CANTER: 5304 Topanga Canyon Boulevard, Woodland Hills, CA 91364. M&S is a family partnership run by an uncle that is involved in commercial real estate. I have been a silent partner since 1990. I do not devote any time during trading hours or any other time in this business. 2. EMPIRICAL PLANNERS, LLC: 466 Bedford Road, Armonk NY 10504. My wife is a doctor and runs Empirical Planners, LLC, a medical consulting business. As of December 2021, I own 1% of the LLC and my spouse 99%. I do not receive a salary. This is a passive activity for me. I do not devote any time during trading hours to this business.

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

May 30, 2021 - March 15, 2023

SVB WEALTH

RIA
CRD#: 172832
NEW YORK, NY
Past

July 28, 2011 - May 15, 2012

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
New York, NY
Past

July 28, 2011 - August 3, 2016

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
New York, NY
Past

May 25, 2009 - July 26, 2011

ALLIANCEBERNSTEIN L.P.

RIA
CRD#: 108477
NEW YORK, NY
Past

May 6, 2009 - July 26, 2011

SANFORD C. BERNSTEIN & CO., LLC

BD
CRD#: 104474
NEW YORK, NY
Past

June 9, 2008 - February 12, 2009

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
NEW YORK, NY
Past

March 15, 2004 - April 10, 2008

WELLS FARGO SECURITIES, LLC

BD
CRD#: 126292
NEW YORK, NY
Past

October 13, 2000 - April 2, 2004

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
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".
SW
SVB WEALTH
BANYAN PARTNERS | SVB WEALTH LLC | SVB WEALTH | SVB PRIVATE | KLS, A DIVISION OF SVB WEALTH LLC | KLS, A DIVISION OF BOSTON PRIVATE | BP WEALTH MANAGEMENT, LLC | BP WEALTH MANAGEMENT | BOSTON PRIVATE, AN SVB COMPANY | BOSTON PRIVATE WEALTH MANAGEMENT | BOSTON PRIVATE WEALTH LLC | BOSTON PRIVATE WEALTH | BOSTON PRIVATE

CRD#: 172832 / SEC#: 801-80480

RIA
Registered Investment Advisory firm - (10/2/2014 Approved)

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
IAR
Series 66
Date: 5/21/2009
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 10/23/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 8/3/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 5/13/2009
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 10/12/2000
General Securities Representative Examination

Current Firm

SW
SVB WEALTH
BANYAN PARTNERS | SVB WEALTH LLC | SVB WEALTH | SVB PRIVATE | KLS, A DIVISION OF SVB WEALTH LLC | KLS, A DIVISION OF BOSTON PRIVATE | BP WEALTH MANAGEMENT, LLC | BP WEALTH MANAGEMENT | BOSTON PRIVATE, AN SVB COMPANY | BOSTON PRIVATE WEALTH MANAGEMENT | BOSTON PRIVATE WEALTH LLC | BOSTON PRIVATE WEALTH | BOSTON PRIVATE

CRD#: 172832 / SEC#: 801-80480

RIA
Registered Investment Advisory firm - (10/2/2014 Approved)
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Contact information

Main Address
53 State Street 28th Floor, Boston, MA 02109
Mailing Address
Po Box 27131, Raleigh, NC 27611
Phone number
(617) 223-0200
Established
Firm type
Fiscal year end
# of Employees
85

SEC notice filing (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

SVB WEALTH LLC (3/30/2025)
SVB WEALTH LLC APPENDIX 1/ WRAP BROCHURE (3/30/2025)

Regulatory assets under management

Total Number of Accounts3,739
AUM (Assets Under Management)$ 4,983,411,995

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
02/21/2025
Cover Page
Report
09/20/2024
Cover Page
Report
10/31/2022
Cover Page
Report

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

SVB WEALTH

CRD#: 172832

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