John S. Tuve

TUVE INVESTMENT MANAGEMENT

Waterloo, IA 50702

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CRD#: 1190043

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.

1. TUVE INVESTMENTS, NON- INVESTMENT RELATED, ADDRESS: 227 E. SAN MARNAN DR., WATERLOO IA, 50702, INSURANCE SALES, POSITION: INSURANCE AGENT, 20 HOURS DEVOTED A MONTH, 1 HOUR DEVOTED DURING SECURITIES TRADING HOURS, DUTIES: INSURANCE SALES. 2. REAL ESTATE RENTAL, NON-INVESTMENT RELATED, ADDRESS: PARKERSBURGH, IA, POSITION: OWNER/LANDLORD, START DATE: 12/5/2008, 4 HOURS DEVOTED A MONTH, DUTIES: OWN THREE PIECES OF FARMLAND WITH A TOTAL OF 56 ACRES IN GOVERNMENT PROGRAMS FOR SETTING LAND ASIDE AND NOT ACTIVELY FARMING THE LAND. 3. REAL ESTATE RENTAL, NON- INVESTMENT RELATED, ADDRESS: WATERLOO, IA, OFFICE SPACE RENTAL, POSITION: LANDLORD/OWNER, START DATE: 12/5/2008, 2 HOURS DEVOTED A MONTH, DUTIES: RENTAL OF OFFICE SPACE TO LOCAL BUSINESS. 4. IOWA NOTARY, NON-INVESTMENT RELATED, ADDRESS: WATERLOO, IA, NOTARIZING DOCUMENTS, POSITION: LICENSED NOTARY, START DATE: 12/12/2011, 1 HOUR DEVOTED A MONTH, DUTIES: I NOTARIZE DOCUMENTS FOR INDIVIDUALS THAT REQUIRE A LICENSED NOTARY TO DO SO. 5. TUVE INVESTMENTS INVESTMENT MANAGEMENT, INC., INVESTMENT RELATED, ADDRESS: 227 EAST SAN MARNAN DR., WATERLOO, IA 50702, RIA, POSITION: OWNER AND FINANCIAL PLANNER, START DATE: 07/2015,140 HOURS DEVOTED A MONTH, 140 HOURS DEVOTED DURING SECURITIES TRADING HOURS, DUTIES: FINANCIAL PLANNING, RETIREMENT PLANNING, AND ASSET MANAGEMENT.

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

August 7, 2015 - 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

CRD#: 35747

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

CRD#: 6413

WATERLOO, IA

Past

September 13, 1991 - February 6, 1995

HAMILTON INVESTMENTS, INC.

CRD#: 821

Past

January 2, 1991 - September 18, 1991

DOMINION INVESTOR SERVICES, INC.

CRD#: 21548

MARBLE FALLS, TX

Past

February 24, 1989 - December 31, 1990

T.L. REED SECURITIES, INC.

CRD#: 19875

Past

July 17, 1985 - February 7, 1989

SOURCE SECURITIES, INC.

CRD#: 8026

Past

December 22, 1983 - January 29, 1985

HORNOR, TOWNSEND & KENT, LLC

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".

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
(8/7/2015)

IAR

Texas
(10/11/2016)

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

Series 63

Date: 2/3/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/17/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 1/2/2023

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 24

Date: 12/15/1997

General Securities Principal Examination

Principal/Supervisory Exam

Series 8

Date: 5/1/1992

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

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)

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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

SEC notice filing (5 States and Territories)

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 Accounts	1,409
AUM (Assets Under Management)	$ 133,271,675

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

John S. Tuve

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

LPL FINANCIAL LLC

LPL FINANCIAL LLC

HAMILTON INVESTMENTS, INC.

DOMINION INVESTOR SERVICES, INC.

T.L. REED SECURITIES, INC.

SOURCE SECURITIES, INC.

HORNOR, TOWNSEND & KENT, LLC

Primary Firm SEC Registration

TUVE INVESTMENT MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/3/1984

SIE

Date: 10/1/2018

Series 7

Date: 12/17/1983

Series 10

Date: 1/2/2023

Series 9

Date: 1/2/2023

Series 24

Date: 12/15/1997

Series 8

Date: 5/1/1992

Current Firm

TUVE INVESTMENT MANAGEMENT, INC.

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TUVE INVESTMENT MANAGEMENT, INC.

TRUST BUT VERIFY

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