Stephanie S. Martin

Some features on this profile are disabled

CRD#: 4578557

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.

Stephanie Smith Martin, CFP®, who also goes by Stephanie Leanne Smith, Stephanie Leanne Smith, was a registered financial professional .

Stephanie is a previously registered financial professional and started their career in finance in 2002. Stephanie had worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Stephanie Leanne Smith | Stephanie Leanne Smith

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.

SULLIVAN'S CUSTOM CABINETRY, INC.; TULSA, OK; START: 03/20/19; OWNER; BOOKKEEPING, MARKETING & HUMAN RESOURCES; APPROXIMATELY 40 HRS/WEEK/FULL TIME

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

June 11, 2018 - April 17, 2024

COUNCIL OAK WEALTH ADVISORS

RIA

CRD#: 297180

TULSA, OK

Past

January 26, 2009 - June 22, 2018

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

TULSA, OK

Past

January 26, 2009 - June 22, 2018

UBS FINANCIAL SERVICES INC.

CRD#: 8174

TULSA, OK

Past

December 18, 2007 - January 22, 2009

KESTRA INVESTMENT SERVICES, LLC

RIA

CRD#: 42046

TULSA, OK

Past

December 14, 2007 - January 22, 2009

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

TULSA, OK

Past

May 17, 2007 - October 4, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

TULSA, OK

Past

May 15, 2007 - October 4, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

TULSA, OK

Past

May 31, 2005 - April 23, 2007

WILMINGTON BROKERAGE SERVICES COMPANY

CRD#: 14942

WILMINGTON, DE

Past

February 19, 2003 - December 7, 2007

WILMINGTON TRUST INVESTMENT MANAGEMENT

RIA

CRD#: 19396

ATLANTA, GA

Past

November 12, 2002 - May 31, 2005

WILMINGTON TRUST INVESTMENT MANAGEMENT

CRD#: 19396

ATLANTA, GA

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".

COUNCIL OAK WEALTH ADVISORS

COUNCIL OAK WEALTH ADVISORS | COWA, LLC

CRD#: 297180 / SEC#: 801-113403

RIA

Registered Investment Advisory firm - (6/8/2018 Approved)

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

IAR

Series 66

Date: 2/17/2003

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 6/22/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/11/2002

General Securities Representative Examination

Current Firm

COUNCIL OAK WEALTH ADVISORS

COUNCIL OAK WEALTH ADVISORS | COWA, LLC

CRD#: 297180 / SEC#: 801-113403

RIA

Registered Investment Advisory firm - (6/8/2018 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

8801 S. Yale Avenue Suite 420, Tulsa, OK 74137

Mailing Address

3091 S.e. Washington Blvd. Ste B, Bartlesville, OK 74006

Phone number

(918) 984-9110

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

COUNCIL OAK WEALTH ADVISORS ADV PART 2 BROCHURE (6/27/2025)

Regulatory assets under management

Total Number of Accounts	890
AUM (Assets Under Management)	$ 435,179,814

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Stephanie S. Martin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

KESTRA INVESTMENT SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

WILMINGTON BROKERAGE SERVICES COMPANY

WILMINGTON TRUST INVESTMENT MANAGEMENT

WILMINGTON TRUST INVESTMENT MANAGEMENT

Primary Firm SEC Registration

COUNCIL OAK WEALTH ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 2/17/2003

SIE

Date: 6/22/2018

Series 7

Date: 11/11/2002

Current Firm

COUNCIL OAK WEALTH ADVISORS

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

COUNCIL OAK WEALTH ADVISORS

TRUST BUT VERIFY

Similar Advisors