Stephen K. Davis

SAFE HARBOR ASSET MANAGEMENT

Huntington, NY 11743

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CRD#: 1015132

Professional summary

Stephen Kent Davis is a registered financial advisor currently at SAFE HARBOR ASSET MANAGEMENT, INC. located in Huntington, New York.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1981. Stephen has worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 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.

INSURANCE: I CONDUCT INSURANCE BUSINESS FOR LIFE & ANNUITIES. I AM CURRENTLY NOT A GA.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Kent Davis'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

June 13, 2021 - Present

SAFE HARBOR ASSET MANAGEMENT, INC.

Office #1: 167 East Main Street, Huntington, NY 11743

RIA

CRD#: 124787

Huntington, NY

Past

November 25, 2008 - March 1, 2016

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

CRD#: 18487

HUNTINGTON, NY

Past

February 18, 2000 - December 31, 2011

SAFE HARBOR ASSET MANAGEMENT, INC.

RIA

CRD#: 124787

HUNTINGTON, NY

Past

March 14, 1997 - November 26, 2008

FSC SECURITIES CORPORATION

CRD#: 7461

HUNTINGTON, NY

Past

November 19, 1989 - March 19, 1997

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

April 12, 1982 - November 19, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

November 3, 1981 - April 21, 1982

G. R. PHELPS & CO., INC.

CRD#: 173

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".

SAFE HARBOR ASSET MANAGEMENT, INC.

1031 INVESTMENT PROPERTY SOLUTIONS | STEPHEN K. DAVIS FINANCIAL SERVICES LTD. | SAFEHARBOR ASSET MANAGEMENT | SAFE HARBOR ASSET MANAGEMENT, INC.

CRD#: 124787 / SEC#: 801-79634

RIA

Registered Investment Advisory firm - (5/15/2014 Approved)

Connecticut

Registered Investment Advisory firm - (12/31/2011 Failure to Renew)

New York

Registered Investment Advisory firm - (5/15/2014 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

New York
(6/13/2021)

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

Series 63

Date: 8/13/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 3/1/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/19/1982

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/27/1981

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/2/1997

General Securities Principal Examination

Current Firm

SAFE HARBOR ASSET MANAGEMENT, INC.

1031 INVESTMENT PROPERTY SOLUTIONS | STEPHEN K. DAVIS FINANCIAL SERVICES LTD. | SAFEHARBOR ASSET MANAGEMENT | SAFE HARBOR ASSET MANAGEMENT, INC.

CRD#: 124787 / SEC#: 801-79634

RIA

Registered Investment Advisory firm - (5/15/2014 Approved)

Connecticut

Registered Investment Advisory firm - (12/31/2011 Failure to Renew)

New York

Registered Investment Advisory firm - (5/15/2014 Terminated)

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Contact information

Main Address

167 East Main Street, Huntington, NY 11743

Mailing Address

Phone number

(631) 421-4341

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV 2A - FIRM BROCHURE (2/21/2025)

Regulatory assets under management

Total Number of Accounts	44
AUM (Assets Under Management)	$ 33,771,530

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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Firm Stability Insights

Stephen K. Davis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Kent Davis's CRS (Customer Relationship Summary).

Certified licenses

Experience

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

SAFE HARBOR ASSET MANAGEMENT, INC.

FSC SECURITIES CORPORATION

OSAIC WEALTH, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

G. R. PHELPS & CO., INC.

Primary Firm SEC Registration

SAFE HARBOR ASSET MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/13/1998

SIE

Date: 3/1/2016

Series 7

Date: 6/19/1982

Series 6

Date: 10/27/1981

Series 24

Date: 6/2/1997

Current Firm

SAFE HARBOR ASSET MANAGEMENT, INC.

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SAFE HARBOR ASSET MANAGEMENT, INC.

TRUST BUT VERIFY

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