Steven M. Cervantes

VIRTUE CAPITAL MANAGEMENT

Brentwood, TN 37027

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CRD#: 3150234

Professional summary

Steven Mark Cervantes, who also goes by Steven M Cervantes, is a registered financial advisor currently at VIRTUE CAPITAL MANAGEMENT, LLC located in Brentwood, Tennessee and SUMMIT CAPITAL SOLUTIONS LLC located in Brentwood, Tennessee.

Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Steven has worked at 19 firms and has passed the Series 66, Series 99TO, SIE, Series 7, Series 53, Series 28, Series 14, Series 10 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Steven M Cervantes

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) K STREET CAPITAL FRANKLIN TN CEO - Insurance Sales and Other Consulting Services NON-INVESTMENT RELATED 2) VIRTUE CAPITAL MANAGEMENT, LLC / BRENTWOOD, TN / SINCE 01/2021 / CHIEF COMPLIANCE OFFICER / INVESTMENT RELATED. 3) SUMMIT CAPITAL SOLUTIONS, LLC / BRENTWOOD, TN / SINCE 01/2021 / CHIEF COMPLIANCE OFFICER / INVESTMENT RELATED.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Mark Cervantes'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

January 12, 2021 - Present

VIRTUE CAPITAL MANAGEMENT, LLC

Office #1: 6 Cadillac Dr. Suite 310, Brentwood, TN 37027

RIA

CRD#: 167816

Brentwood, TN

Current

June 18, 2021 - Present

SUMMIT CAPITAL SOLUTIONS LLC

Office #1: 6 Cadillac Drive Suite 310, Brentwood, TN 37027

RIA

CRD#: 281478

Brentwood, TN

Past

October 29, 2020 - March 29, 2022

LIFEMARK SECURITIES CORP.

CRD#: 16204

ROCHESTER, NY

Past

January 23, 2019 - June 10, 2020

K STREET CAPITAL PARTNERS

RIA

CRD#: 299676

ST. LOUIS, MO

Past

October 23, 2017 - October 17, 2018

LARSON FINANCIAL GROUP, LLC

RIA

CRD#: 140599

SAINT LOUIS, MO

Past

October 23, 2017 - October 17, 2018

LARSON FINANCIAL SECURITIES, LLC

CRD#: 152517

Rochester, MN

Past

July 20, 2016 - April 18, 2017

OPUS FINANCIAL PARTNERS, LLC

CRD#: 172146

IRVINE, CA

Past

November 6, 2015 - June 3, 2016

WEALTHFRONT ADVISERS LLC

RIA

CRD#: 148456

REDWOOD CITY, CA

Past

October 27, 2015 - June 3, 2016

WEALTHFRONT BROKERAGE LLC

CRD#: 153407

PALO ALTO, CA

Past

June 22, 2015 - October 22, 2015

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

SAN JOSE, CA

Past

June 15, 2015 - October 22, 2015

PRINCIPAL SECURITIES, INC.

CRD#: 1137

SAN JOSE, CA

Past

May 16, 2014 - December 31, 2014

FOOTHILL SECURITIES, INC.

RIA

CRD#: 1027

Santa Clara, CA

Past

May 15, 2014 - January 23, 2015

FOOTHILL SECURITIES, INC.

CRD#: 1027

Santa Clara, CA

Past

January 5, 2012 - May 21, 2014

QUESTAR ASSET MANAGEMENT, INC.

RIA

CRD#: 133358

MINNEAPOLIS, MN

Past

November 23, 2011 - May 21, 2014

QUESTAR CAPITAL CORPORATION

CRD#: 43100

NOVATO, CA

Past

January 27, 2010 - June 10, 2011

ITA FINANCIAL SERVICES, LLC

CRD#: 38649

MIAMI, FL

Past

June 22, 2005 - November 24, 2009

MORGAN KEEGAN & COMPANY, LLC

RIA

CRD#: 4161

MEMPHIS, TN

Past

April 12, 2005 - November 24, 2009

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

MEMPHIS, TN

Past

January 24, 2001 - October 1, 2002

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

December 15, 2000 - December 22, 2000

SISUNG SECURITIES CORPORATION

CRD#: 25752

METAIRIE, LA

Past

June 15, 2000 - December 13, 2000

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

Past

January 8, 1999 - June 9, 2000

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

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".

VIRTUE CAPITAL MANAGEMENT, LLC

CRD#: 167816 / SEC#: 801-79938

RIA

Registered Investment Advisory firm - (6/25/2014 Approved)

Arizona

Registered Investment Advisory firm - (7/1/2014 Terminated)

California

Registered Investment Advisory firm - (7/31/2014 Terminated)

Florida

Registered Investment Advisory firm - (7/1/2014 Terminated)

Georgia

Registered Investment Advisory firm - (7/1/2014 Terminated)

Kentucky

Registered Investment Advisory firm - (7/2/2014 Terminated)

New Jersey

Registered Investment Advisory firm - (7/11/2014 Terminated)

Ohio

Registered Investment Advisory firm - (7/1/2014 Terminated)

Pennsylvania

Registered Investment Advisory firm - (7/1/2014 Terminated)

Tennessee

Registered Investment Advisory firm - (7/31/2014 Terminated)

Texas

Registered Investment Advisory firm - (7/1/2014 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

Tennessee
(1/12/2021)

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 66

Date: 6/21/2005

Uniform Combined State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/6/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 2/3/2016

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 28

Date: 10/27/2010

Introducing Broker/Dealer Financial Operations Principal Examination

Principal/Supervisory Exam

Series 14

Date: 5/23/2008

Compliance Officer Examination

Principal/Supervisory Exam

Series 10

Date: 11/12/2007

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 24

Date: 10/27/2007

General Securities Principal Examination

Current Firm

VIRTUE CAPITAL MANAGEMENT, LLC

CRD#: 167816 / SEC#: 801-79938

RIA

Registered Investment Advisory firm - (6/25/2014 Approved)

Arizona

Registered Investment Advisory firm - (7/1/2014 Terminated)

California

Registered Investment Advisory firm - (7/31/2014 Terminated)

Florida

Registered Investment Advisory firm - (7/1/2014 Terminated)

Georgia

Registered Investment Advisory firm - (7/1/2014 Terminated)

Kentucky

Registered Investment Advisory firm - (7/2/2014 Terminated)

New Jersey

Registered Investment Advisory firm - (7/11/2014 Terminated)

Ohio

Registered Investment Advisory firm - (7/1/2014 Terminated)

Pennsylvania

Registered Investment Advisory firm - (7/1/2014 Terminated)

Tennessee

Registered Investment Advisory firm - (7/31/2014 Terminated)

Texas

Registered Investment Advisory firm - (7/1/2014 Terminated)

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Contact information

Main Address

6 Cadillac Dr. Suite 310, Brentwood, TN 37027

Mailing Address

Phone number

(615) 340-0801

Established

Firm type

Fiscal year end

# of Employees

110

SEC notice filing (43 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

VCM ADV PART 2A (3/28/2024)

Regulatory assets under management

Total Number of Accounts	6,111
AUM (Assets Under Management)	$ 787,466,707

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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We're Here To Help

Advisor Monitoring

Firm Stability Insights

Steven M. Cervantes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Mark Cervantes's CRS (Customer Relationship Summary).

Certified licenses

Experience

SUMMIT CAPITAL SOLUTIONS LLC

LIFEMARK SECURITIES CORP.

K STREET CAPITAL PARTNERS

LARSON FINANCIAL GROUP, LLC

LARSON FINANCIAL SECURITIES, LLC

OPUS FINANCIAL PARTNERS, LLC

WEALTHFRONT ADVISERS LLC

WEALTHFRONT BROKERAGE LLC

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

FOOTHILL SECURITIES, INC.

FOOTHILL SECURITIES, INC.

QUESTAR ASSET MANAGEMENT, INC.

QUESTAR CAPITAL CORPORATION

ITA FINANCIAL SERVICES, LLC

MORGAN KEEGAN & COMPANY, LLC

MORGAN KEEGAN & COMPANY, LLC

UBS FINANCIAL SERVICES INC.

SISUNG SECURITIES CORPORATION

BANC ONE SECURITIES CORPORATION

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

VIRTUE CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/21/2005

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 1/6/1999

Series 53

Date: 2/3/2016

Series 28

Date: 10/27/2010

Series 14

Date: 5/23/2008

Series 10

Date: 11/12/2007

Series 24

Date: 10/27/2007

Current Firm

VIRTUE CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (43 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

VIRTUE CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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