Steven T. Stokes

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CRD#: 1405580

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Steven Thomas Stokes was a registered financial professional .

Steven is a previously registered financial professional and started their career in finance in 2009. Steven had worked at 4 firms .

Question & Answer

Are you a "fiduciary"?

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 4, 2020 - March 6, 2024

SFM, LLC

RIA

CRD#: 116564

MANCHESTER, NH

Past

August 23, 2016 - May 30, 2019

THREE BEARINGS FIDUCIARY ADVISORS, INC.

RIA

CRD#: 283926

HAMPTON, NH

Past

July 28, 2015 - October 27, 2016

MACKENSEN & COMPANY, INC.

RIA

CRD#: 107937

HAMPTON, NH

Past

April 22, 2009 - June 23, 2015

AEQUITAS INVESTMENTS LLC

RIA

CRD#: 149655

NEW LONDON, NH

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".

SFM, LLC

CRD#: 116564 / SEC#: 801-79426

RIA

Registered Investment Advisory firm - (4/7/2014 Approved)

Florida

Registered Investment Advisory firm - (4/9/2014 Terminated)

Massachusetts

Registered Investment Advisory firm - (4/9/2014 Terminated)

New Hampshire

Registered Investment Advisory firm - (4/28/2014 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.

Visual representation of state registrations

This advisor is not registered in any state.

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

Current Firm

SFM, LLC

CRD#: 116564 / SEC#: 801-79426

RIA

Registered Investment Advisory firm - (4/7/2014 Approved)

Florida

Registered Investment Advisory firm - (4/9/2014 Terminated)

Massachusetts

Registered Investment Advisory firm - (4/9/2014 Terminated)

New Hampshire

Registered Investment Advisory firm - (4/28/2014 Terminated)

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Contact information

Main Address

575 Front Street, Manchester, NH 03102

Mailing Address

Phone number

(603) 625-8400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A BROCHURE/PART 2B BROCHURE SUPPLEMENT (8/12/2025)

Regulatory assets under management

Total Number of Accounts	711
AUM (Assets Under Management)	$ 323,214,244

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

Steven T. Stokes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SFM, LLC

THREE BEARINGS FIDUCIARY ADVISORS, INC.

MACKENSEN & COMPANY, INC.

AEQUITAS INVESTMENTS LLC

Primary Firm SEC Registration

SFM, LLC

State Registrations and Notice Filings

Exams

Current Firm

SFM, LLC

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SFM, LLC

TRUST BUT VERIFY

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