Andrew B. Davis

STEPHEN L. SMITH

Jenks, OK 74037

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CRD#: 4634378

Professional summary

Andrew Brian Davis is a registered financial advisor currently at STEPHEN L. SMITH CORPORATION located in Jenks, Oklahoma.

Andrew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Andrew has worked at 1 firm and has passed the Series 65, Series 50 and Series 54 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.

STANDARD CAPITAL FINANCE, TULSA OK, 11/2008-PRSENT, OWNER MANAGER, LEASE FINANCE SERVICING, <5%

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew Brian Davis'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®

None

Experience

Current

April 20, 2009 - Present

STEPHEN L. SMITH CORPORATION

Office #1: 531 East "a" Street Suite 301, Jenks, OK 74037

RIA

CRD#: 116459

Jenks, OK

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

Oklahoma
(4/20/2009)

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 65

Date: 4/17/2009

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 50

Date: 2/15/2016

Municipal Advisor Representative Qualification Exam

Principal/Supervisory Exam

Series 54

Date: 1/25/2021

Municipal Advisor Principal Qualification Examination

Current Firm

STEPHEN L. SMITH CORPORATION

CRD#: 116459 / SEC#:

Kansas

Registered Investment Advisory firm - (12/21/2010 Terminated)

Oklahoma

Registered Investment Advisory firm - (4/13/1995 Approved)

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).

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Contact information

Main Address

531 East "a" Street Suite 301, Jenks, OK 74037

Mailing Address

Phone number

(918) 296-9980

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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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Andrew B. Davis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew Brian Davis's CRS (Customer Relationship Summary).

Certified licenses

Experience

STEPHEN L. SMITH CORPORATION

State Registrations and Notice Filings

Exams

Series 65

Date: 4/17/2009

Series 50

Date: 2/15/2016

Series 54

Date: 1/25/2021

Current Firm

STEPHEN L. SMITH CORPORATION

Contact information

Documents

Red Flags

Company Information

STEPHEN L. SMITH CORPORATION

TRUST BUT VERIFY

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