RB
Robert L. Bandy
ROBERT STEPHEN CAPITAL MANAGEMENT LLC
Tulsa, OK 74135
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CRD#: 4290169
RB
Professional summary
Robert L Bandy is a registered financial advisor currently at ROBERT STEPHEN CAPITAL MANAGEMENT LLC located in Tulsa, Oklahoma.
Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Robert has worked at 8 firms and has passed the Series 66, SIE and Series 7 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.
INVESTMENT ADVISOR REPRESENTATIVE OF STREETER, MOORE & STIPE, LLC, A SEC RIA SINCE 2001 WITH BUSINESS ADDRESS OF 4111 S. DARLINGTON, SUITE 120, TULSA, OK 74135 AND DBA ROBERT STEPHEN CAPITAL MANAGEMENT. DEVOTES WHATEVER TIME IS NECESSARY TO SUPPORT THE CLIENTS OF HIS ADVISORY BUSINESS. OWNER OF SOFTWARE FIRM (FINIAT, LLC) WITH BUSINESS ADDRESS OF 808 NORTH DONNELLY ST. MOUNT DORA, FLORIDA 32757. SOFTWARE FOR PROFESSIONAL MONEY MANAGERS THAT CONSIDERS RISKS AND ASSET ALLOCATION PROFILES FOR INVESTMENT PORTFOLIOS. 20 HOURS PER MONTH AND 10 HOURS PER MONTH DURING SECURITIES TRADING HOURS. BUSINESS STARTED OPERATIONS 11/17/17.
CRS (Client Relationship Summary) - RIA
Click below to view Robert L Bandy'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®
NoneExperience
Current
January 4, 2008 - Present
ROBERT STEPHEN CAPITAL MANAGEMENT LLC
Office #1: 4111 S. Darlington Suite 120, Tulsa, OK 74135RIA
CRD#: 118588
Tulsa, OK
Past
January 2, 2008 - October 8, 2020
FSIC
BD
CRD#: 37813
TULSA, OK
Past
June 17, 2005 - December 31, 2007
WOLF FINANCIAL MANAGEMENT, LLC
RIA
CRD#: 44225
SPRINGDALE, AR
Past
June 10, 2005 - December 31, 2007
WOLF FINANCIAL MANAGEMENT, LLC
BD
CRD#: 44225
SPRINGDALE, AR
Past
January 23, 2004 - June 13, 2005
WILBANKS SECURITIES ADVISORY
RIA
CRD#: 118304
SPRINGDALE, AR
Past
December 17, 2003 - June 13, 2005
WILBANKS SECURITIES, INC.
BD
CRD#: 40673
OKLAHOMA CITY, OK
Past
July 31, 2003 - January 7, 2004
MORGAN KEEGAN & COMPANY, LLC
RIA
CRD#: 4161
ROGERS, AR
Past
May 1, 2001 - January 7, 2004
MORGAN KEEGAN & COMPANY, LLC
BD
CRD#: 4161
MEMPHIS, TN
Past
February 6, 2001 - May 2, 2001
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
February 6, 2001 - May 2, 2001
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
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".
RS
ROBERT STEPHEN CAPITAL MANAGEMENT LLC
DBA: ROBERT STEPHEN CAPITAL MANAGEMENT | STREETER MOORE & STIPE LLC | SMS FINANCIAL & INVESTMENT MANAGEMENT | ROBERT STEPHEN CAPITAL MANAGEMENT LLC | DBA: WEALTH MANAGEMENT SOLUTIONS
CRD#: 118588 / SEC#: 801-68644
RIA
Registered Investment Advisory firm - (1/7/2008 Approved)Oklahoma
Registered Investment Advisory firm - (1/7/2008 Terminated)Texas
Registered Investment Advisory firm - (12/31/2007 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.Highlighted states indicate IAR registrations
IAR
Arkansas(1/10/2008)
IAR
Oklahoma(1/4/2008)
IAR
Texas(1/5/2015)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
RS
ROBERT STEPHEN CAPITAL MANAGEMENT LLC
DBA: ROBERT STEPHEN CAPITAL MANAGEMENT | STREETER MOORE & STIPE LLC | SMS FINANCIAL & INVESTMENT MANAGEMENT | ROBERT STEPHEN CAPITAL MANAGEMENT LLC | DBA: WEALTH MANAGEMENT SOLUTIONS
CRD#: 118588 / SEC#: 801-68644
RIA
Registered Investment Advisory firm - (1/7/2008 Approved)Oklahoma
Registered Investment Advisory firm - (1/7/2008 Terminated)Texas
Registered Investment Advisory firm - (12/31/2007 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4111 S. Darlington Suite 120, Tulsa, OK 74135
Mailing Address
Phone number
(918) 481-6262
Established
Firm type
Fiscal year end
# of Employees
5
SEC notice filing (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 471 |
| AUM (Assets Under Management) | $ 193,461,626 |
Red Flags
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Company Information
ROBERT STEPHEN CAPITAL MANAGEMENT LLC
CRD#: 118588Tulsa, OK 74135TRUST BUT VERIFY
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