Steven W. Ellis

SAGEOAK FINANCIAL

Tulsa, OK 74133-1738

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CRD#: 1574466

Professional summary

Steven Wayne Ellis, CFP®, who also goes by Steve W. Ellis, Steve Ellis, is a registered financial advisor currently at SAGEOAK FINANCIAL, LLC located in Tulsa, Oklahoma.

Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Steven has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Steve W. Ellis | Steve Ellis

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.

SEASONS RE LLC; NOT INVESTMENT RELATED; 6964 SOUTH 69TH EAST AVENUE TULSA OK 74133; REAL ESTATE; Managing Partner; May 2014; 1 HOUR A MONTH, No hours DURING TRADING HOURS; COMMERCIAL REAL ESTATE LEASE.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Wayne Ellis'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®

CFP^®

Certified Financial Planner

Start date: 2011

Experience

Current

October 4, 2021 - Present

SAGEOAK FINANCIAL, LLC

Office #1: 6964 S. 69th East Ave., Tulsa, OK 74133-1738

RIA

CRD#: 166927

Tulsa, OK

Past

June 30, 2017 - October 14, 2021

LEXAURUM ADVISORS

RIA

CRD#: 283653

Tulsa, OK

Past

September 2, 2016 - November 2, 2016

VSR FINANCIAL SERVICES, INC.

RIA

CRD#: 14503

TULSA, OK

Past

September 1, 2016 - July 6, 2017

SUMMIT FINANCIAL GROUP INC

RIA

CRD#: 109485

TULSA, OK

Past

September 1, 2016 - July 6, 2017

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

TULSA, OK

Past

August 30, 2010 - September 1, 2016

VSR FINANCIAL SERVICES, INC.

RIA

CRD#: 14503

TULSA, OK

Past

August 30, 2010 - November 2, 2016

VSR FINANCIAL SERVICES, INC.

CRD#: 14503

TULSA, OK

Past

February 17, 2005 - September 27, 2010

NEXT FINANCIAL GROUP, INC.

RIA

CRD#: 46214

TULSA, OK

Past

February 15, 2005 - September 27, 2010

NEXT FINANCIAL GROUP, INC.

CRD#: 46214

TULSA, OK

Past

September 19, 2001 - February 15, 2005

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

LINCOLN, NE

Past

July 24, 2000 - October 3, 2001

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

January 1, 1999 - July 20, 2000

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

HOUSTON, TX

Past

July 25, 1996 - July 20, 2000

THE VARIABLE ANNUITY MARKETING COMPANY

CRD#: 5081

HOUSTON, TX

Past

November 18, 1994 - September 5, 1996

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

June 29, 1994 - November 3, 1994

CITISTREET EQUITIES LLC

CRD#: 7447

SOMERSET, NJ

Past

June 15, 1994 - July 8, 1994

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

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".

SAGEOAK FINANCIAL, LLC

SAGEOAK FINANCIAL, LLC | SEASONS FINANCIAL GROUP

CRD#: 166927 / SEC#: 801-122855

RIA

Registered Investment Advisory firm - (12/13/2021 Approved)

Oklahoma

Registered Investment Advisory firm - (12/17/2021 Terminated)

Texas

Registered Investment Advisory firm - (12/17/2021 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

Oklahoma
(10/4/2021)

IAR

Texas
(10/4/2021)

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

IAR

Series 65

Date: 7/28/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/21/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 7/6/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/4/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/14/1994

Investment Company Products/Variable Contracts Representative Examination

Current Firm

SAGEOAK FINANCIAL, LLC

SAGEOAK FINANCIAL, LLC | SEASONS FINANCIAL GROUP

CRD#: 166927 / SEC#: 801-122855

RIA

Registered Investment Advisory firm - (12/13/2021 Approved)

Oklahoma

Registered Investment Advisory firm - (12/17/2021 Terminated)

Texas

Registered Investment Advisory firm - (12/17/2021 Terminated)

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Contact information

Main Address

6964 S. 69th East Ave., Tulsa, OK 74133-1738

Mailing Address

Phone number

(918) 627-3700

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A: FIRM DISCLOSURE BROCHURE (2/24/2025)

Regulatory assets under management

Total Number of Accounts	655
AUM (Assets Under Management)	$ 143,926,779

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 W. Ellis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Wayne Ellis's CRS (Customer Relationship Summary).

Certified licenses

Experience

LEXAURUM ADVISORS

VSR FINANCIAL SERVICES, INC.

SUMMIT FINANCIAL GROUP INC

SUMMIT BROKERAGE SERVICES, INC.

VSR FINANCIAL SERVICES, INC.

VSR FINANCIAL SERVICES, INC.

NEXT FINANCIAL GROUP, INC.

NEXT FINANCIAL GROUP, INC.

ALLSTATE FINANCIAL SERVICES, LLC

SUNAMERICA SECURITIES, INC.

VALIC FINANCIAL ADVISORS, INC.

THE VARIABLE ANNUITY MARKETING COMPANY

SUNAMERICA SECURITIES, INC.

CITISTREET EQUITIES LLC

SUNAMERICA SECURITIES, INC.

Primary Firm SEC Registration

SAGEOAK FINANCIAL, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/28/1994

Series 63

Date: 6/21/1994

SIE

Date: 7/6/2017

Series 7

Date: 6/4/2001

Series 6

Date: 6/14/1994

Current Firm

SAGEOAK FINANCIAL, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SAGEOAK FINANCIAL, LLC

TRUST BUT VERIFY

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