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John Stanley Tuve

John S. Tuve

TUVE INVESTMENT MANAGEMENT
Waterloo, IA 50702
Some features on this profile are disabled
CRD#: 1190043
John Stanley Tuve

Professional summary

John Stanley Tuve, CFP® is a registered financial advisor currently at TUVE INVESTMENT MANAGEMENT, INC. located in Waterloo, Iowa.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. John has worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 10, Series 9, Series 24 and Series 8 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Stanley Tuve's CRS (Customer Relationship Summary).
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®
CFP®

Certified Financial Planner

Start date: 1989

Experience

Current

February 9, 2026 - Present

TUVE INVESTMENT MANAGEMENT, INC.

Office #1: 227 East San Marnan Drive, Waterloo, IA 50702
RIA
CRD#: 226702
Waterloo, IA
Past

August 10, 2015 - December 31, 2024

PURSHE KAPLAN STERLING INVESTMENTS

BD
CRD#: 35747
Waterloo, IA
Past

August 7, 2015 - December 31, 2025

TUVE INVESTMENT MANAGEMENT, INC.

RIA
CRD#: 226702
WATERLOO, IA
Past

January 16, 1996 - September 29, 2015

LPL FINANCIAL LLC

RIA
CRD#: 6413
WATERLOO, IA
Past

January 19, 1995 - September 29, 2015

LPL FINANCIAL LLC

BD
CRD#: 6413
WATERLOO, IA
Past

September 13, 1991 - February 6, 1995

HAMILTON INVESTMENTS, INC.

BD
CRD#: 821
Past

January 2, 1991 - September 18, 1991

DOMINION INVESTOR SERVICES, INC.

BD
CRD#: 21548
MARBLE FALLS, TX
Past

February 24, 1989 - December 31, 1990

T.L. REED SECURITIES, INC.

BD
CRD#: 19875
Past

July 17, 1985 - February 7, 1989

SOURCE SECURITIES, INC.

BD
CRD#: 8026
Past

December 22, 1983 - January 29, 1985

HORNOR, TOWNSEND & KENT, LLC

BD
CRD#: 4031

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".
TI
TUVE INVESTMENT MANAGEMENT, INC.
TUVE INVESTMENT MANAGEMENT, INC. | TUVE INVESTMENTS, INC. | TUVE INVESTMENTS INC.

CRD#: 226702 / SEC#: 801-100395

RIA
Registered Investment Advisory firm - (7/6/2015 Approved)

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
Iowa
(2/9/2026)
IAR
Texas
(2/12/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 2/3/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/17/1983
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/2/2023
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/2/2023
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/15/1997
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 8
Date: 5/1/1992
General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

TI
TUVE INVESTMENT MANAGEMENT, INC.
TUVE INVESTMENT MANAGEMENT, INC. | TUVE INVESTMENTS, INC. | TUVE INVESTMENTS INC.

CRD#: 226702 / SEC#: 801-100395

RIA
Registered Investment Advisory firm - (7/6/2015 Approved)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
227 East San Marnan Drive, Waterloo, IA 50702
Mailing Address
Phone number
(319) 235-0075
Established
Firm type
Fiscal year end
# of Employees
6

SEC notice filing (5 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV 2A FIRM BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts1,409
AUM (Assets Under Management)$ 133,271,675

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.

Company Information

TUVE INVESTMENT MANAGEMENT, INC.

CRD#: 226702Waterloo, IA 50702

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