Steven Hawes has been an investment adviser representative at Vista Investment Partners since July 2020, and is not listed among the firm’s executive officers or direct owners. Steven Hawes studied at the University of Oklahoma.
Vista Investment Partners LLC is an Oklahoma City, OK firm with $611M under management, 479 clients and 6 advisers across 2 offices, as of its May 2026 filing.
Steven Hawes is Senior Vice President and Portfolio Manager at Vista Investment Partners. He began his career as a Financial Advisor in 1986 and specializes in managing discretionary equity and fixed income portfolios. Before joining Vista, he was a Portfolio Manager and Investment Advisor at the Oklahoma City office of Raymond James.
Steven Hawes’ longest registration was 10 years at Prudential Securities Incorporated (1992–2003). Before joining Vista Investment Partners in 2020, Steven Hawes was registered through Raymond James & Associates, Inc. and Morgan Stanley Smith Barney LLC.
- – present · 6 yearsOklahoma City, OK · Adviser representative · Firm CRD 286014
- Raymond James & Associates, Inc.– · 8 yearsOklahoma City, OK · Adviser representative · Firm CRD 705
- Morgan Stanley Smith Barney LLC– · 2 yearsEdmond, OK · Adviser representative · Firm CRD 149777
- Morgan Stanley & Co. Incorporated– · 2 yearsEdmond, OK · Adviser representative · Firm CRD 8209
- Morgan Stanley– · 2 yearsEdmond, OK · Adviser representative · Firm CRD 7556
- Wachovia Securities, LLC– · 1 yearEdmond, OK · Adviser representative · Firm CRD 19616
- Prudential Securities Incorporated– · 10 yearsEdmond, OK · Adviser representative · Firm CRD 7471
Investment adviser representative registrations
Steven Hawes is registered as an investment adviser representative in 2 states. Each was approved in July 2020.
- OklahomaSince 17 July 2020
- TexasSince 17 July 2020
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 16 February 1993 |
| Series 63 | Uniform Securities Agent State Law Examination | 6 August 1986 |
| Series 7 | General Securities Representative Examination | 19 July 1986 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Steven Lawrence Hawes
- CRD
- 1517079
- Firm
- Vista Investment Partners · CRD 286014
- Office
- 5601 NORTH CLASSEN BOULEVARD, SUITE 101, Oklahoma City, OK 73118
- Registration
- Investment adviser registration
- In the industry since
- August 1986
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- vistainvestment.com
Where does Steven Hawes work?
Steven Hawes is an investment adviser representative registered through Vista Investment Partners LLC since July 2020, and is not listed among the firm’s executive officers or direct owners.
Is Steven Hawes a financial advisor?
Yes. Steven Hawes has a current investment-adviser registration in Oklahoma and Texas, through Vista Investment Partners since July 2020.
How many years of experience does Steven Hawes have?
Steven Hawes has 40 years in the financial industry, since August 1986, across 7 adviser firms.
What exams has Steven Hawes passed?
Steven Hawes has passed 3 licensing exams: the Series 7, Series 63 and Series 65. The earliest, the Series 7, was passed in July 1986. FINRA credited Steven Hawes with the SIE, which began in October 2018.
Where did Steven Hawes work before Vista Investment Partners?
Before Vista Investment Partners, Steven Hawes was registered through Raymond James & Associates, Inc., May 2012 to July 2020; Morgan Stanley Smith Barney LLC, June 2009 to May 2012; Morgan Stanley & Co. Incorporated, April 2007 to June 2009; Morgan Stanley, July 2004 to April 2007; Wachovia Securities, LLC, July 2003 to August 2004; Prudential Securities Incorporated, July 1992 to July 2003.
Where is Steven Hawes based?
Steven Hawes’ registered office is in Oklahoma City, OK.
Is Steven Hawes registered with FINRA?
No. Steven Hawes has no current broker registration.
How can I verify Steven Hawes’ record?
Search CRD 1517079 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Steven Hawes’ full registration record.
