Steven C. Cairns

UMB ASSET MANAGEMENT

Madison, WI 53717

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CRD#: 4986522

Professional summary

Steven Charles Cairns is a registered financial advisor currently at UMB ASSET MANAGEMENT, LLC located in Madison, Wisconsin.

Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Steven has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view Steven Charles Cairns'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

May 11, 2026 - Present

UMB ASSET MANAGEMENT, LLC

Office #1: 119 Junction, Madison, WI 53717

RIA

CRD#: 306374

Madison, WI

Past

March 24, 2021 - August 20, 2024

LPL FINANCIAL LLC

RIA

CRD#: 6413

MADISON, WI

Past

March 24, 2021 - August 20, 2024

LPL FINANCIAL LLC

CRD#: 6413

MADISON, WI

Past

September 2, 2020 - March 24, 2021

BMO HARRIS FINANCIAL ADVISORS, INC.

RIA

CRD#: 137115

MADISON, WI

Past

September 2, 2020 - March 24, 2021

BMO HARRIS FINANCIAL ADVISORS, INC.

CRD#: 137115

MADISON, WI

Past

November 9, 2017 - October 29, 2018

NATIONWIDE INVESTMENT SERVICES CORPORATION

CRD#: 7110

Louisville, KY

Past

May 6, 2014 - February 3, 2017

BD COMPLIANCE SOLUTIONS, LLC

CRD#: 30188

NEW YORK, NY

Past

July 15, 2010 - April 1, 2014

VAN ECK SECURITIES CORPORATION

CRD#: 2269

NEW YORK, NY

Past

October 13, 2006 - July 13, 2010

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

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".

UMB ASSET MANAGEMENT, LLC

UMB ASSET MANAGEMENT, LLC | UMB FAMILY WEALTH, LLC

CRD#: 306374 / SEC#: 801-117738

RIA

Registered Investment Advisory firm - (12/5/2019 Approved)

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

Illinois
(5/14/2026)

IAR

Iowa
(5/13/2026)

IAR

Minnesota
(5/11/2026)

IAR

Missouri
(5/13/2026)

IAR

Montana
(5/12/2026)

IAR

New Mexico
(5/12/2026)

IAR

Wisconsin
(5/11/2026)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/23/2007

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/12/2006

General Securities Representative Examination

Current Firm

UMB ASSET MANAGEMENT, LLC

UMB ASSET MANAGEMENT, LLC | UMB FAMILY WEALTH, LLC

CRD#: 306374 / SEC#: 801-117738

RIA

Registered Investment Advisory firm - (12/5/2019 Approved)

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Contact information

Main Address

1010 Grand 3rd Floor, Kansas City, MO 64106

Mailing Address

Phone number

(816) 860-7000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

UMB ASSET MANAGEMENT LLC - PART 2A (6/30/2025)

Regulatory assets under management

Total Number of Accounts	4
AUM (Assets Under Management)	$ 47,495,486

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 C. Cairns

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Charles Cairns's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

BMO HARRIS FINANCIAL ADVISORS, INC.

BMO HARRIS FINANCIAL ADVISORS, INC.

NATIONWIDE INVESTMENT SERVICES CORPORATION

BD COMPLIANCE SOLUTIONS, LLC

VAN ECK SECURITIES CORPORATION

FIDELITY BROKERAGE SERVICES LLC

Primary Firm SEC Registration

UMB ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/23/2007

SIE

Date: 10/1/2018

Series 7

Date: 10/12/2006

Current Firm

UMB ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

UMB ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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