Stephen Frederick Owen

Employer firm

Rbc Capital Markets, LLC CRD 31194

$310B regulatory AUM 1,893 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/2015 → 10/2022
  Ubs Financial Services Inc.
  Annapolis, MD
• 10/2022 → Present
  Rbc Capital Markets, Llc
  Annapolis, MD
• 11/2022 → 12/2022
  City National Bank
  Annapolis, MD

Previous Registrations

• 2015-06-04 → 2022-11-04
  Ubs Financial Services Inc.
  Annapolis, MD
  Annapolis, MD
• 2009-07-02 → 2015-06-18
  Morgan Stanley
  Annapolis, MD
  Annapolis, MD
  Annapolis, MD
• 2000-11-01 → 2009-07-13
  Wells Fargo Clearing Services, Llc
  Severna Park, MD
  Severna Park, MD
  Columbia, MD

Other Businesses

RENTAL PROPERTY--403 PENWOOD DRIVE, EDGEWATER, MD 6237 Camphor Avenue, Sarasota, Florida 34231 / United States / No / Other / rental house / Real Estate / renting it, maintenance and upkeep / Proprietor / owner / already explained, I will rent, and maintain the property / No / to earn rental income / Start Date 12/1/2019

Exams

• S65 Uniform Investment Adviser Law Examination
  1994-09-14
• S63 Uniform Securities Agent State Law Examination
  1993-10-05

Other Names

• Stephen Frederick Owen
• Stephen Frederick Owen
• Stephen Frederick Owen Iii