SC
Stephen E. Canter
UBS ASSET MANAGEMENT (AMERICAS) LLC
Fairfield, CT 06824
Some features on this profile are disabled
CRD#: 6002812
SC
Professional summary
Stephen Edward Canter, who also goes by Stephen Canter, Steve E Canter, Steve Edward Canter Jr., is a registered financial advisor currently at UBS ASSET MANAGEMENT (AMERICAS) LLC located in Fairfield, Connecticut and UBS ASSET MANAGEMENT (US) INC. located in New York, New York.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Stephen has worked at 4 firms and has passed the Series 66, SIE, Series 7, Series 99 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Stephen Canter | Steve E Canter | Steve Edward Canter Jr.
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.
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Edward Canter'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 24, 2020 - Present
UBS ASSET MANAGEMENT (AMERICAS) LLC
Office #1: 252 Henry Street, Fairfield, CT 06824RIA
CRD#: 106838
Fairfield, CT
Current
August 21, 2020 - Present
UBS ASSET MANAGEMENT (US) INC.
Office #1: 787 7th Avenue, New York, NY 10019BD
CRD#: 583
New York, NY
Past
August 19, 2013 - August 21, 2020
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
WEEHAWKEN, NJ
Past
May 7, 2013 - August 21, 2020
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
June 26, 2012 - May 13, 2013
UBS SECURITIES LLC
BD
CRD#: 7654
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".
UA
UBS ASSET MANAGEMENT (AMERICAS) LLC
BRINSON PARTNERS | UBS UNIFIED GLOBAL ALTERNATIVES | UBS TIMBER INVESTORS | UBS SUSTAINABLE INVESTORS | UBS REAL ESTATE & PRIVATE MARKETS (AMERICAS) | UBS HEDGE FUND SOLUTIONS | UBS GROWTH INVESTORS | UBS GLOBAL REAL ASSETS AMERICAS | UBS GLOBAL ASSET MANAGEMENT(NEW YORK) INC. | UBS GLOBAL ASSET MANAGEMENT (US)INC. | UBS GLOBAL ASSET MANAGEMENT (AMERICAS) INC. | UBS CREDIT INVESTMENTS GROUP | UBS ASSET MANAGEMENT (AMERICAS) LLC | UBS ASSET MANAGEMENT (AMERICAS) INC. | UBS ASSET MANAGEMENT | UBS AM | O'CONNOR | DSI INTERNATIONAL MANAGEMENT, INC. | BRINSON PARTNERS, INC
CRD#: 106838 / SEC#: 801-34910
RIA
Registered Investment Advisory firm - (9/11/1989 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.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
Alabama(8/21/2020)
RR
Alaska(8/21/2020)
RR
Arizona(8/21/2020)
RR
Arkansas(8/21/2020)
RR
California(8/21/2020)
RR
Colorado(8/21/2020)
RR
Connecticut(8/21/2020)
RR
Delaware(8/21/2020)
RR
District of Columbia(8/21/2020)
RR
Florida(8/21/2020)
RR
Georgia(8/21/2020)
RR
Hawaii(8/21/2020)
RR
Idaho(8/21/2020)
RR
Illinois(8/21/2020)
RR
Indiana(8/21/2020)
RR
Iowa(8/21/2020)
RR
Kansas(8/21/2020)
RR
Kentucky(8/21/2020)
RR
Louisiana(8/21/2020)
RR
Maine(8/21/2020)
RR
Maryland(8/21/2020)
RR
Massachusetts(8/21/2020)
RR
Michigan(8/21/2020)
RR
Minnesota(8/21/2020)
RR
Mississippi(8/21/2020)
RR
Missouri(8/21/2020)
RR
Montana(8/21/2020)
RR
Nebraska(8/21/2020)
RR
Nevada(8/21/2020)
RR
New Hampshire(8/21/2020)
RR
New Jersey(8/21/2020)
IAR
New Jersey(8/24/2020)
RR
New Mexico(8/21/2020)
RR
New York(8/21/2020)
RR
North Carolina(8/21/2020)
RR
North Dakota(8/21/2020)
RR
Ohio(8/21/2020)
RR
Oklahoma(8/21/2020)
RR
Oregon(8/21/2020)
RR
Pennsylvania(8/21/2020)
RR
Puerto Rico(8/21/2020)
RR
Rhode Island(8/21/2020)
RR
South Carolina(8/21/2020)
RR
South Dakota(8/21/2020)
RR
Tennessee(8/21/2020)
RR
Texas(8/21/2020)
RR
Utah(8/21/2020)
RR
Vermont(8/21/2020)
RR
Virgin Islands(8/21/2020)
RR
Virginia(8/21/2020)
RR
Washington(8/21/2020)
RR
West Virginia(8/21/2020)
RR
Wisconsin(8/21/2020)
RR
Wyoming(8/21/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
UA
UBS ASSET MANAGEMENT (AMERICAS) LLC
BRINSON PARTNERS | UBS UNIFIED GLOBAL ALTERNATIVES | UBS TIMBER INVESTORS | UBS SUSTAINABLE INVESTORS | UBS REAL ESTATE & PRIVATE MARKETS (AMERICAS) | UBS HEDGE FUND SOLUTIONS | UBS GROWTH INVESTORS | UBS GLOBAL REAL ASSETS AMERICAS | UBS GLOBAL ASSET MANAGEMENT(NEW YORK) INC. | UBS GLOBAL ASSET MANAGEMENT (US)INC. | UBS GLOBAL ASSET MANAGEMENT (AMERICAS) INC. | UBS CREDIT INVESTMENTS GROUP | UBS ASSET MANAGEMENT (AMERICAS) LLC | UBS ASSET MANAGEMENT (AMERICAS) INC. | UBS ASSET MANAGEMENT | UBS AM | O'CONNOR | DSI INTERNATIONAL MANAGEMENT, INC. | BRINSON PARTNERS, INC
CRD#: 106838 / SEC#: 801-34910
RIA
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Contact information
Main Address
787 7th Avenue, New York, NY 10019
Mailing Address
Phone number
(212) 713-2000
Established
Firm type
Fiscal year end
# of Employees
792
SEC notice filing (53 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 399,225 |
| AUM (Assets Under Management) | $ 542,245,991,275 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 |
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.
