Steven L. Hawes

VISTA INVESTMENT PARTNERS LLC

Oklahoma City, OK 73118

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CRD#: 1517079

Professional summary

Steven Lawrence Hawes, who also goes by S L Hawes, is a registered financial advisor currently at VISTA INVESTMENT PARTNERS LLC located in Oklahoma City, Oklahoma.

Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Steven has worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

S L Hawes

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.

Steve L. Hawes is the owner of Hawes Portfolio Management LLC, a company created solely for tax and estate purposes. 1)Name of Business : Shirley Smith Family Properties Address: Oklahoma City, OK Nature of the Business: Personal/Private Investment Position/Title: Partner/Part Owner/Controlling Officer Investment Related:Yes Start Date: 05/31/2015 Hours per month devoted to this business: 2 Hours per month devoted to this business during trading hours: 0 Description of duties: To administer a portfolio of mineral royalty interests, for the heirs of Shirley M. Smith. Duties include: receipt & deposit of checks into RJ account #[REDACTED]; receipt & payment of invoices; and submission of documents for tax preparation.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Lawrence Hawes'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

July 17, 2020 - Present

VISTA INVESTMENT PARTNERS LLC

Office #1: 5601 North Classen Boulevard Suite 101, Oklahoma City, OK 73118

RIA

CRD#: 7471

NEW YORK, NY

Past

May 15, 1989 - August 17, 1992

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

July 23, 1986 - May 31, 1989

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

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".

VISTA INVESTMENT PARTNERS LLC

CRD#: 286014 / SEC#: 801-108779

RIA

Registered Investment Advisory firm - (1/3/2017 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.

Highlighted states indicate IAR registrations

IAR

Oklahoma
(7/17/2020)

IAR

Texas
(7/17/2020)

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

IAR

Series 65

Date: 2/16/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/6/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/19/1986

General Securities Representative Examination

Current Firm

VISTA INVESTMENT PARTNERS LLC

CRD#: 286014 / SEC#: 801-108779

RIA

Registered Investment Advisory firm - (1/3/2017 Approved)

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Contact information

Main Address

5601 North Classen Boulevard Suite 101, Oklahoma City, OK 73118

Mailing Address

Phone number

(405) 608-5390

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (20 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

VISTA INVESTMENT PARTNERS - PART 2A BROCHURE (1/22/2025)

Regulatory assets under management

Total Number of Accounts	1,601
AUM (Assets Under Management)	$ 541,021,596

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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Advisor Monitoring

Firm Stability Insights

Steven L. Hawes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Lawrence Hawes's CRS (Customer Relationship Summary).

Certified licenses

Experience

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LEHMAN BROTHERS INC.

STIFEL, NICOLAUS & COMPANY, INCORPORATED

Primary Firm SEC Registration

VISTA INVESTMENT PARTNERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/16/1993

Series 63

Date: 8/6/1986

SIE

Date: 10/1/2018

Series 7

Date: 7/19/1986

Current Firm

VISTA INVESTMENT PARTNERS LLC

Contact information

SEC notice filing (20 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

VISTA INVESTMENT PARTNERS LLC

TRUST BUT VERIFY

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