Steven Lawrence Hawes

Current Employers

Employment History

• 05/2012 → 07/2020
  Raymond James & Associates
  Oklahoma City, OK
• 07/2020 → Present
  Vista Investment Partners Llc
  Oklahoma City, OK

Previous Registrations

• 2020-05-06 → 2020-07-01
  Raymond James & Associates, Inc.
  Oklahoma City, OK
• 2012-05-04 → 2020-05-05
  Raymond James & Associates, Inc.
  Oklahoma City, OK
• 2009-06-01 → 2012-05-29
  Morgan Stanley
  Edmond, OK
  Edmond, OK
• 2007-04-02 → 2009-06-01
  Morgan Stanley & Co. Llc
  Edmond, OK
• 2004-07-30 → 2007-04-02
  Morgan Stanley Dw Inc.
  Edmond, OK
  Edmond, OK
• 2003-07-01 → 2004-08-03
  Wells Fargo Clearing Services, Llc
  Edmond, OK
• 1992-07-31 → 2003-07-01
  Prudential Equity Group, Llc
  Edmond, OK

Other Businesses

Steve L. Hawes is the owner of Hawes Portfolio Management LLC, a company created solely for tax and estate purposes. 1)Name of Business : Shirley Smith Family Properties Address: Oklahoma City, OK Nature of the Business: Personal/Private Investment Position/Title: Partner/Part Owner/Controlling Officer Investment Related:Yes Start Date: 05/31/2015 Hours per month devoted to this business: 2 Hours per month devoted to this business during trading hours: 0 Description of duties: To administer a portfolio of mineral royalty interests, for the heirs of Shirley M. Smith. Duties include: receipt & deposit of checks into RJ account #[REDACTED]; receipt & payment of invoices; and submission of documents for tax preparation.

Exams

• S65 Uniform Investment Adviser Law Examination
  1993-02-16
• S63 Uniform Securities Agent State Law Examination
  1986-08-06

Other Names

• S L Hawes