Jay D. Stallsmith

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CRD#: 4571071

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Jay Donald Stallsmith, CFP® was a registered financial professional .

Jay is a previously registered financial professional and started their career in finance in 2000. Jay had worked at 5 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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)LOHREY AND ASSOCIATES, PLLC - NOT INVESTMENT RELATED - 1924 S. UTICA SUITE 900 TULSA OK 74104 - MANAGER - SINCE 2/1996 - 40HRS/WEEK - PARTNER OF TAX PRACTICE/ACCOUNTING FIRM:

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Experience

Past

July 25, 2012 - December 31, 2024

ROBERT STEPHEN CAPITAL MANAGEMENT LLC

RIA

CRD#: 118588

TULSA, OK

Past

July 24, 2012 - September 6, 2016

FSIC

CRD#: 37813

TULSA, OK

Past

October 18, 2004 - August 4, 2010

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

TULSA, OK

Past

June 2, 2004 - August 4, 2010

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

TULSA, OK

Past

May 4, 2000 - December 31, 2011

LOHREY FINANCIAL GROUP, LLC

RIA

CRD#: 118414

TULSA, OK

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".

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)

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.

Visual representation of state registrations

This advisor is not registered in any state.

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

Series 63

Date: 7/23/2004

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 12/2/1999

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 9/6/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/1/2004

General Securities Representative Examination

Current Firm

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)

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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

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A MARCH 2024 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	471
AUM (Assets Under Management)	$ 193,461,626

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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Firm Stability Insights

Jay D. Stallsmith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FSIC

CETERA INVESTMENT ADVISERS LLC

CETERA FINANCIAL SPECIALISTS LLC

LOHREY FINANCIAL GROUP, LLC

Primary Firm SEC Registration

ROBERT STEPHEN CAPITAL MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/23/2004

Series 65

Date: 12/2/1999

SIE

Date: 9/6/2016

Series 7

Date: 6/1/2004

Current Firm

ROBERT STEPHEN CAPITAL MANAGEMENT LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ROBERT STEPHEN CAPITAL MANAGEMENT LLC

TRUST BUT VERIFY

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