SF
Stephan M. Farber
ARAX ADVISORY PARTNERS
Houston, TX 77027
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CRD#: 4772647
SF
Stephan M FarberARAX ADVISORY PARTNERS
Professional summary
Stephan M Farber, who also goes by Stephan Michael Farber, Stephen Farber, is a registered financial advisor currently at ARAX ADVISORY PARTNERS located in Houston, Texas.
Stephan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Stephan has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
At a Glance
Always Fiduciary
Aliases
Stephan Michael Farber | Stephen Farber
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) INDEPENDENT INSURANCE AGENT
2) MUSICBRIDGE; INVESTMENT RELATED: NO; ADDRESS: 270 LAFAYETTE STREET, SUITE 808, NY, NY 10012; NATURE OF BUSINESS: MUSIC DEVELOPMENT AND OUTREACH; TITLE/POSITION: BOARD OF DIRECTORS; START DATE OF AFFILIATION: 07/10/14; NUMBER OF HOURS PER/MONTH DEVOTED: 3; NUMBER OF TRADING HOURS PER/MONTH DEVOTED: 0; DESCRIPTION OF DUTIES: STRATEGIC ADVICE.
3) OJAI MUSIC FESTIVAL; HOUSTON TX; NATURE OF BUSINESS: BOARD MEMBER/OFFICER/DIRECTOR; TITLE/POSITION: DIRECTOR; INVESTMENT RELATED: NO; START DATE : 09/22/2018; NUMBER OF HOURS PER/MONTH DEVOTED: 1; NUMBER OF TRADING HOURS PER/MONTH DEVOTED: 0; DESCRIPTION OF DUTIES: BOARD OF DIRECTORS
4) WELLIGENC INC., NON INVESTMENT-RELATED, NEW YORK NY, ADVISORY BOARD, 01/2018, 1 HR/MONTH
CRS (Client Relationship Summary) - RIA
Click below to view Stephan M Farber's 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®
NoneExperience
Current
July 19, 2026 - Present
ARAX ADVISORY PARTNERS
Office #1: 4444 Westheimer Road Suite G500, Houston, TX 77027RIA
CRD#: 133535
Houston, TX
Past
January 29, 2025 - July 20, 2026
U.S. CAPITAL WEALTH ADVISORS, LLC
RIA
CRD#: 288199
HOUSTON, TX
Past
October 22, 2018 - February 24, 2025
INSCRIPTION CAPITAL, LLC
RIA
CRD#: 291780
Houston, TX
Past
September 6, 2016 - October 26, 2018
RAYMOND JAMES & ASSOCIATES, INC.
RIA
CRD#: 705
Houston, TX
Past
September 6, 2016 - October 26, 2018
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
Houston, TX
Past
August 30, 2013 - September 6, 2016
DEUTSCHE BANK SECURITIES INC.
RIA
CRD#: 2525
HOUSTON, TX
Past
August 30, 2013 - September 6, 2016
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
HOUSTON, TX
Past
May 29, 2009 - September 3, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
HOUSTON, TX
Past
May 29, 2009 - September 3, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
HOUSTON, TX
Past
June 18, 2004 - June 18, 2009
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
HOUSTON, TX
Past
June 2, 2004 - June 18, 2009
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
HOUSTON, TX
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".
AA
ARAX ADVISORY PARTNERS
7258 WEALTH MANAGEMENT, INC. | YOUNG WEALTH MANAGEMENT GROUP | WELLTH PARTNER | U.S. CAPITAL WEALTH ADVISORS | U.S. CAPITAL WEALTH | TRANSCEND CAPITAL ADVISORS | THE OAK GROUP | THE DAVIS AGENCY, INC. | SUMMIT WEALTH STRATEGIES | SRS INVESTMENT SERVICES, LLC | SRS CAPITAL ADVISORS, LLC | SRS CAPITAL ADVISORS, INC. | SRS CAPITAL ADVISORS | SIMONDAVIS, INC. | SIMONDAVIS ASSET MANAGEMENT, INC. | SIMONDAVIS ASSET MANAGEMENT | SEAL FINANCIAL SERVICES | SCHECHTER INVESTMENT ADVISORS | OMNI FINANCIAL ADVISORY GROUP | NOVEN FINANCIAL GROUP | NORTE ADVISORS | MILLARES ASSET MANAGEMENT | LOGIX INVESTMENTS | KLEINHENZ & ASSOCIATES | GFP PRIVATE WEALTH | GEORGINA ASSET MANAGEMENT | ENDURING WEALTH PARTNERS | CEDRUS | AVERA CAPITAL WEALTH MANAGEMENT | ARAX WEALTH | ARAX ADVISORY PARTNERS, LLC | ARAX ADVISORY PARTNERS
CRD#: 133535 / SEC#: 801-67165
RIA
Registered Investment Advisory firm - (9/20/2006 Approved)California
Registered Investment Advisory firm - (10/18/2006 Terminated)Colorado
Registered Investment Advisory firm - (11/14/2006 Terminated)Georgia
Registered Investment Advisory firm - (5/24/2012 Terminated)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.Highlighted states indicate IAR registrations
IAR
Texas(7/19/2026)
Exams
What does exam status mean?
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
AA
ARAX ADVISORY PARTNERS
7258 WEALTH MANAGEMENT, INC. | YOUNG WEALTH MANAGEMENT GROUP | WELLTH PARTNER | U.S. CAPITAL WEALTH ADVISORS | U.S. CAPITAL WEALTH | TRANSCEND CAPITAL ADVISORS | THE OAK GROUP | THE DAVIS AGENCY, INC. | SUMMIT WEALTH STRATEGIES | SRS INVESTMENT SERVICES, LLC | SRS CAPITAL ADVISORS, LLC | SRS CAPITAL ADVISORS, INC. | SRS CAPITAL ADVISORS | SIMONDAVIS, INC. | SIMONDAVIS ASSET MANAGEMENT, INC. | SIMONDAVIS ASSET MANAGEMENT | SEAL FINANCIAL SERVICES | SCHECHTER INVESTMENT ADVISORS | OMNI FINANCIAL ADVISORY GROUP | NOVEN FINANCIAL GROUP | NORTE ADVISORS | MILLARES ASSET MANAGEMENT | LOGIX INVESTMENTS | KLEINHENZ & ASSOCIATES | GFP PRIVATE WEALTH | GEORGINA ASSET MANAGEMENT | ENDURING WEALTH PARTNERS | CEDRUS | AVERA CAPITAL WEALTH MANAGEMENT | ARAX WEALTH | ARAX ADVISORY PARTNERS, LLC | ARAX ADVISORY PARTNERS
CRD#: 133535 / SEC#: 801-67165
RIA
Registered Investment Advisory firm - (9/20/2006 Approved)California
Registered Investment Advisory firm - (10/18/2006 Terminated)Colorado
Registered Investment Advisory firm - (11/14/2006 Terminated)Georgia
Registered Investment Advisory firm - (5/24/2012 Terminated)Loading...
Contact information
Main Address
10 East 53rd Street 14th Floor, New York, NY 10022
Mailing Address
Phone number
(646) 777-1823
Established
Firm type
Fiscal year end
# of Employees
361
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 39,138 |
| AUM (Assets Under Management) | $ 26,524,973,206 |
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.
