Steven D. Kaestner
SAXONY CAPITAL MANAGEMENT
Edmond, OK 73013
Some features on this profile are disabled
CRD#: 2844064
Professional summary
Steven Douglas Kaestner, CFP® is a registered financial advisor currently at SAXONY CAPITAL MANAGEMENT, LLC located in Edmond, Oklahoma and SAXONY SECURITIES, INC. located in Edmond, Oklahoma.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Steven has worked at 13 firms and has passed the Series 63, SIE, Series 7 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.
1) Ironhorse Wealth Management and Ironhorse Investments & Estate Planning ; DBA for investment-related business. 2) Name of Business: Steven D Kaestner P.C. Non-Investment related. Address: 15401 N. May Ave., Suite 500, Edmond, Oklahoma 73013. Nature of Business: Legal and Accounting services. Position/Title/Relationship: Owner. Start Date: 1986. Hours per month: 40. Hours per month during Securities trading hours: 2. Duties/Responsibilities: I am a CPA and Attorney. Provide legal and accounting services. 3) Name of Business: Steven D Kaestner. Non-Investment related. Address: 15401 N. May Ave., Suite 500, Edmond, Oklahoma 73013. Nature of Business: Insurance. Position/Title/Relationship: Owner. Start Date: 07/23/2002. Hours per month: 5. Hours per month during Securities trading hours: 5. Duties/Responsibilities: Insurance and related insurance products.
CRS (Client Relationship Summary) - RIA
Click below to view Steven Douglas Kaestner's 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®
Start date: 2001
Experience
Current
January 2, 2025 - Present
SAXONY CAPITAL MANAGEMENT, LLC
Office #1: 15401 N May Avenue Suite 500, Edmond, OK 73013RIA
CRD#: 122692
Edmond, OK
Current
October 23, 2020 - Present
SAXONY SECURITIES, INC.
Office #1: 15401 N. May Ave Suite 500, Edmond, OK 73013BD
CRD#: 115547
Edmond, OK
Past
November 1, 2023 - December 31, 2024
SAXONY CAPITAL MANAGEMENT, LLC
RIA
CRD#: 122692
Edmond, OK
Past
January 12, 2023 - November 9, 2023
PLAN GROUP FINANCIAL, INC.
RIA
CRD#: 116508
Edmond, OK
Past
October 23, 2020 - December 31, 2022
PLAN GROUP FINANCIAL, INC.
RIA
CRD#: 116508
Edmond, OK
Past
September 3, 2019 - September 4, 2019
PLAN GROUP FINANCIAL, INC.
RIA
CRD#: 116508
OKLAHOMA CITY, OK
Past
May 9, 2017 - October 27, 2020
SMART MONEY GROUP, LLC
RIA
CRD#: 284187
Edmond, OK
Past
May 8, 2017 - October 23, 2020
CALTON & ASSOCIATES, INC.
BD
CRD#: 20999
Edmond, OK
Past
September 1, 2016 - May 15, 2017
SUMMIT FINANCIAL GROUP INC
RIA
CRD#: 109485
EDMOND, OK
Past
September 1, 2016 - May 15, 2017
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
EDMOND, OK
Past
September 29, 2006 - September 1, 2016
VSR FINANCIAL SERVICES, INC.
RIA
CRD#: 14503
EDMOND, OK
Past
September 29, 2006 - September 1, 2016
VSR FINANCIAL SERVICES, INC.
BD
CRD#: 14503
EDMOND, OK
Past
May 8, 2001 - October 4, 2006
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
OKLAHOMA CITY, OK
Past
July 21, 2000 - October 4, 2006
SECURITIES AMERICA, INC.
BD
CRD#: 10205
OKLAHOMA CITY, OK
Past
April 5, 1999 - July 26, 2000
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
September 5, 1997 - April 6, 1999
SECURITIES SERVICE NETWORK, LLC
BD
CRD#: 13318
KNOXVILLE, TN
Past
February 4, 1997 - September 30, 1997
CAPITAL SECURITIES OF AMERICA, INC.
BD
CRD#: 36405
HARTVILLE, OH
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".
SC
SAXONY CAPITAL MANAGEMENT, LLC
9DOT WEALTH | SAXONY SECURITIES, INC. | SAXONY INVESTMENT MANAGEMENT CORP. | SAXONY INSURANCE AGENCY, LLC | SAXONY CAPITAL MANAGEMENT, LLC | SAXONY CAPITAL MANAGEMENT LLC. | SAXONY ADVISORS | IRONHORSE INVESTMENTS & ESTATE PLANNING
CRD#: 122692 / SEC#: 801-68385
RIA
Registered Investment Advisory firm - (10/15/2007 Approved)Arkansas
Registered Investment Advisory firm - (10/15/2007 Terminated)California
Registered Investment Advisory firm - (10/15/2007 Terminated)Connecticut
Registered Investment Advisory firm - (10/15/2007 Terminated)Florida
Registered Investment Advisory firm - (10/15/2007 Terminated)Indiana
Registered Investment Advisory firm - (10/24/2005 Terminated)Massachusetts
Registered Investment Advisory firm - (1/16/2007 Terminated)Mississippi
Registered Investment Advisory firm - (10/24/2005 Terminated)Missouri
Registered Investment Advisory firm - (10/15/2007 Terminated)New Jersey
Registered Investment Advisory firm - (10/24/2007 Terminated)North Carolina
Registered Investment Advisory firm - (10/15/2007 Terminated)Ohio
Registered Investment Advisory firm - (10/15/2007 Terminated)South Carolina
Registered Investment Advisory firm - (11/9/2005 Terminated)Tennessee
Registered Investment Advisory firm - (5/31/2006 Terminated)Texas
Registered Investment Advisory firm - (10/15/2007 Terminated)Utah
Registered Investment Advisory firm - (12/31/2006 Terminated)Wisconsin
Registered Investment Advisory firm - (10/15/2007 Terminated)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(10/23/2020)
RR
Arkansas(10/23/2020)
RR
California(10/23/2020)
IAR
California(1/2/2025)
RR
Colorado(10/23/2020)
RR
Florida(10/23/2020)
RR
Georgia(8/18/2025)
RR
Illinois(11/2/2022)
RR
Iowa(10/23/2020)
RR
Kansas(10/23/2020)
RR
Minnesota(10/23/2020)
IAR
Minnesota(1/2/2025)
RR
Missouri(10/23/2020)
RR
Nebraska(10/23/2020)
IAR
Nebraska(1/2/2025)
RR
New Jersey(10/30/2024)
RR
North Carolina(10/23/2020)
RR
Oklahoma(10/23/2020)
IAR
Oklahoma(1/2/2025)
RR
Tennessee(10/23/2020)
RR
Texas(10/23/2020)
IAR
Texas(1/2/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SC
SAXONY CAPITAL MANAGEMENT, LLC
9DOT WEALTH | SAXONY SECURITIES, INC. | SAXONY INVESTMENT MANAGEMENT CORP. | SAXONY INSURANCE AGENCY, LLC | SAXONY CAPITAL MANAGEMENT, LLC | SAXONY CAPITAL MANAGEMENT LLC. | SAXONY ADVISORS | IRONHORSE INVESTMENTS & ESTATE PLANNING
CRD#: 122692 / SEC#: 801-68385
RIA
Registered Investment Advisory firm - (10/15/2007 Approved)Arkansas
Registered Investment Advisory firm - (10/15/2007 Terminated)California
Registered Investment Advisory firm - (10/15/2007 Terminated)Connecticut
Registered Investment Advisory firm - (10/15/2007 Terminated)Florida
Registered Investment Advisory firm - (10/15/2007 Terminated)Indiana
Registered Investment Advisory firm - (10/24/2005 Terminated)Massachusetts
Registered Investment Advisory firm - (1/16/2007 Terminated)Mississippi
Registered Investment Advisory firm - (10/24/2005 Terminated)Missouri
Registered Investment Advisory firm - (10/15/2007 Terminated)New Jersey
Registered Investment Advisory firm - (10/24/2007 Terminated)North Carolina
Registered Investment Advisory firm - (10/15/2007 Terminated)Ohio
Registered Investment Advisory firm - (10/15/2007 Terminated)South Carolina
Registered Investment Advisory firm - (11/9/2005 Terminated)Tennessee
Registered Investment Advisory firm - (5/31/2006 Terminated)Texas
Registered Investment Advisory firm - (10/15/2007 Terminated)Utah
Registered Investment Advisory firm - (12/31/2006 Terminated)Wisconsin
Registered Investment Advisory firm - (10/15/2007 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
11152 S Towne Square, Saint Louis, MO 63123
Mailing Address
Phone number
(314) 963-9336
Established
Firm type
Fiscal year end
# of Employees
6
SEC notice filing (24 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,307 |
| AUM (Assets Under Management) | $ 297,922,213 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/18/2022 |
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.
