SP
Steven K. Pointer
CANTOR FITZGERALD INVESTMENT ADVISORS
New York, NY 10022
Some features on this profile are disabled
CRD#: 5654774
SP
Professional summary
Steven Kurtis Pointer, who also goes by Kurt Pointer, Steve Pointer, Steven K Pointer, is a registered financial advisor currently at CANTOR FITZGERALD INVESTMENT ADVISORS located in New York, New York and CANTOR FITZGERALD & CO. located in New York, New York.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Steven has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kurt Pointer | Steve Pointer | Steven K Pointer
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. RENTAL/INVESTMENT PROPERTY; INVESTMENT RELATED; 25213 OAK CANYON LANE, LAKE FOREST, CA; START DATE:01/01/2019; RENTAL/INVESTMENT PROPERTY IN LAKE FOREST, CA. WE RECEIVE MONTHLY RENT; ACTIVE ROLE AS CO-OWNER; PROPERTY MANAGEMENT, COLLECTING RENT, AND PAYING THE MORTGAGE; 1 HOUR A MONTH DEVOTED TO BUSINESS; 0 HOURS DURING TRADING HOURS. 2. STEVE & CHERYL POINTER; NOT INVESTMENT RELATED; START DATE: 06/22/2023; RENTAL PROPERTY; OWNER & LANDLORD OF THE RENTAL PROPERTY: 822 N NAPLES DR., CHANDLER, AZ 85226; OWNER, MANAGER, AND LANDLORD OF THE RENTAL PROPERTY; 1-3 HOURS DEVOTED PER MONTH; 0 HOURS DEVOTED DURING TRADING HOURS
CRS (Client Relationship Summary) - RIA
Click below to view Steven Kurtis Pointer'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
August 3, 2018 - Present
CANTOR FITZGERALD INVESTMENT ADVISORS
Office #1: 110 East 59th Street 7th Floor, New York, NY 10022RIA
CRD#: 159296
New York, NY
Current
January 5, 2017 - Present
CANTOR FITZGERALD & CO.
Office #1: 110 East 59th Street 5th Floor Dcm, New York, NY 10022BD
CRD#: 134
New York, NY
Past
November 3, 2015 - January 6, 2017
LPL FINANCIAL LLC
RIA
CRD#: 6413
SAN DIEGO, CA
Past
October 3, 2014 - January 6, 2017
LPL FINANCIAL LLC
BD
CRD#: 6413
SAN DIEGO, CA
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".
CF
CANTOR FITZGERALD INVESTMENT ADVISORS
BSP MEMBER MANAGER, LLC (RELYING ADVISOR) | FLIPPIN BRUCE & PORTER | EFFICIENT MARKET ADVISORS | CDMF, LLC (RELYING ADVISOR) | CDF II, LLC (RELYING ADVISOR) | CANTOR FITZGERALD INVESTMENT ADVISORS, L.P. | CANTOR FITZGERALD INVESTMENT ADVISORS
CRD#: 159296 / SEC#: 801-72852
RIA
Registered Investment Advisory firm - (11/15/2011 Approved)Delaware
Registered Investment Advisory firm - (5/22/2018 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.RR
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
RR
Arizona(10/15/2018)
IAR
Arizona(10/25/2022)
RR
California(1/5/2017)
IAR
California(5/17/2024)
RR
Hawaii(1/10/2024)
RR
Iowa(6/28/2019)
RR
Missouri(11/17/2020)
RR
Montana(11/17/2020)
RR
Nebraska(7/3/2019)
RR
Nevada(1/11/2024)
RR
New Mexico(10/11/2018)
RR
Oregon(11/18/2020)
RR
Washington(11/16/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
CF
CANTOR FITZGERALD INVESTMENT ADVISORS
BSP MEMBER MANAGER, LLC (RELYING ADVISOR) | FLIPPIN BRUCE & PORTER | EFFICIENT MARKET ADVISORS | CDMF, LLC (RELYING ADVISOR) | CDF II, LLC (RELYING ADVISOR) | CANTOR FITZGERALD INVESTMENT ADVISORS, L.P. | CANTOR FITZGERALD INVESTMENT ADVISORS
CRD#: 159296 / SEC#: 801-72852
RIA
Registered Investment Advisory firm - (11/15/2011 Approved)Delaware
Registered Investment Advisory firm - (5/22/2018 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
110 East 59th Street 7th Floor, New York, NY 10022
Mailing Address
Phone number
(212) 915-1722
Established
Firm type
Fiscal year end
# of Employees
35
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,286 |
| AUM (Assets Under Management) | $ 2,384,816,869 |
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.
