James S. Tuffield
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.
James Scott Tuffield, CFP® was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1987. James had worked at 17 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1994
Experience
April 13, 2017 - August 25, 2017
PURE FINANCIAL ADVISORS, LLC
January 6, 2015 - December 31, 2015
THE LEADERS GROUP, INC.
December 19, 2014 - December 31, 2015
TLG ADVISORS, INC.
August 29, 2011 - December 31, 2012
CENTAURUS FINANCIAL, INC.
August 26, 2011 - January 15, 2013
CENTAURUS FINANCIAL, INC.
September 2, 2010 - April 29, 2011
INDEPENDENT FINANCIAL GROUP, LLC
September 2, 2010 - April 29, 2011
INDEPENDENT FINANCIAL GROUP, LLC
July 10, 2009 - September 10, 2010
U.S. BANCORP INVESTMENTS, INC.
July 10, 2009 - September 10, 2010
U.S. BANCORP INVESTMENTS, INC.
July 20, 2007 - July 8, 2009
HIMCO DISTRIBUTION SERVICES COMPANY
September 5, 2003 - July 10, 2007
CINCINNATI ANALYSTS, INC.
March 21, 2003 - July 10, 2007
CINCINNATI ANALYSTS, INC.
December 12, 2000 - December 31, 2002
HIMCO DISTRIBUTION SERVICES COMPANY
April 14, 2000 - November 8, 2000
ROUND HILL SECURITIES, INC.
April 6, 2000 - April 18, 2000
ASSET PLANNING SOLUTIONS, INC.
March 25, 1999 - March 16, 2000
HORNOR, TOWNSEND & KENT, LLC
January 27, 1997 - March 10, 1999
WELLS FARGO CLEARING SERVICES, LLC
July 31, 1993 - February 7, 1997
CITIGROUP GLOBAL MARKETS INC.
December 7, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
September 15, 1989 - December 9, 1992
PRUDENTIAL EQUITY GROUP, LLC
June 20, 1988 - September 16, 1989
THOMSON MCKINNON SECURITIES INC.
January 26, 1988 - July 6, 1988
CITIGROUP GLOBAL MARKETS INC.
March 25, 1987 - February 4, 1988
NICHOLAS, LAWRENCE & CO. INC.
Primary Firm SEC Registration
PURE FINANCIAL ADVISORS, LLC
CRD#: 144316 / SEC#: 801-70137
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
Current Firm
PURE FINANCIAL ADVISORS, LLC
CRD#: 144316 / SEC#: 801-70137
Contact information
SEC notice filing (42 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 22,199 |
| AUM (Assets Under Management) | $ 8,023,229,867 |
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.
