Robert J. Tuve
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Robert Joseph Tuve, who also goes by Bob Tuve, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1985. Robert had worked at 13 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 10, 2015 - December 1, 2016
PURSHE KAPLAN STERLING INVESTMENTS
August 5, 2015 - January 18, 2017
TUVE INVESTMENT MANAGEMENT, INC.
March 9, 2010 - September 4, 2015
LPL FINANCIAL LLC
March 2, 2007 - December 31, 2008
DOMINION INVESTOR SERVICES, INC.
May 15, 2002 - October 25, 2005
DOMINION INVESTOR SERVICES, INC.
June 25, 2001 - May 10, 2002
EDWARD JONES
May 28, 1999 - July 5, 2001
LPL FINANCIAL LLC
June 19, 1998 - May 19, 1999
CUNA BROKERAGE SERVICES, INC.
January 19, 1995 - June 16, 1998
LPL FINANCIAL LLC
December 12, 1994 - February 13, 1995
HAMILTON INVESTMENTS, INC.
March 1, 1993 - August 22, 1994
CHARLES SCHWAB & CO., INC.
February 3, 1993 - February 23, 1993
OSAIC WEALTH, INC.
June 10, 1992 - January 22, 1993
CHARLES SCHWAB & CO., INC.
September 13, 1991 - May 26, 1992
HAMILTON INVESTMENTS, INC.
January 4, 1991 - September 18, 1991
DOMINION INVESTOR SERVICES, INC.
May 10, 1989 - December 31, 1990
T.L. REED SECURITIES, INC.
August 2, 1988 - April 20, 1989
SOURCE SECURITIES, INC.
January 2, 1987 - August 6, 1988
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
December 18, 1985 - December 26, 1986
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 10/31/1991
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
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.
