ST
Stephen J. Tolbert
ARAX ADVISORY PARTNERS | Senior Vice President - Wealth Management, USA
Houston, TX 77027
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CRD#: 1725246
ST
Stephen James TolbertARAX ADVISORY PARTNERS
Professional summary
Stephen James Tolbert, who also goes by Stephen James Tolbert Mr, is a registered financial advisor currently at ARAX ADVISORY PARTNERS located in Houston, Texas and USCA SECURITIES LLC located in Houston, Texas.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Stephen has worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
At a Glance
Min. Asset: $500K–$1M
250–500 clients
Services Offered
Trading individual securities
Executive services/Equity compensation
Philanthropic services
Financial planning
Retirement planning
Aliases
Stephen James Tolbert Mr
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.
CRS (Client Relationship Summary) - RIA
Click below to view Stephen James Tolbert's 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®
NoneExperience
Current
July 15, 2026 - Present
ARAX ADVISORY PARTNERS
Office #1: 4444 Westheimer Road Suite G500, Houston, TX 77027RIA
CRD#: 133535
Houston, TX
Current
May 12, 2022 - Present
USCA SECURITIES LLC
Office #1: 4444 Westheimer Suite G500, Houston, TX 77027BD
CRD#: 103789
HOUSTON, TX
Past
May 12, 2022 - July 21, 2026
U.S. CAPITAL WEALTH ADVISORS, LLC
RIA
CRD#: 288199
HOUSTON, TX
Past
January 22, 2009 - June 6, 2022
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
HOUSTON, TX
Past
January 22, 2009 - June 6, 2022
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
HOUSTON, TX
Past
April 2, 2007 - January 26, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
HOUSTON, TX
Past
April 2, 2007 - January 26, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
HOUSTON, TX
Past
December 17, 1990 - April 2, 2007
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
HOUSTON, TX
Past
December 12, 1990 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
HOUSTON, TX
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".
AA
ARAX ADVISORY PARTNERS
7258 WEALTH MANAGEMENT, INC. | YOUNG WEALTH MANAGEMENT GROUP, INC. | WELLTH PARTNER | THE DAVIS AGENCY, INC. | SUMMIT WEALTH STRATEGIES | SRS INVESTMENT SERVICES, LLC | SRS CAPITAL ADVISORS, LLC | SRS CAPITAL ADVISORS, INC. | SIMONDAVIS, INC. | SIMONDAVIS ASSET MANAGEMENT, INC. | SIMONDAVIS ASSET MANAGEMENT | SEAL FINANCIAL SERVICES | SCHECHTER INVESTMENT ADVISORS | NOVEN FINANCIAL GROUP | NORTE ADVISORS, LLC | KLEINHENZ & ASSOCIATES LTD. | GEORGINA ASSET MANAGEMENT, LLC | ENDURING WEALTH PARTNERS | CEDRUS LLC | AVERA CAPITAL WEALTH MANAGEMENT, LLC | ARAX ADVISORY PARTNERS, LLC | ARAX ADVISORY PARTNERS
CRD#: 133535 / SEC#: 801-67165
RIA
Registered Investment Advisory firm - (9/20/2006 Approved)California
Registered Investment Advisory firm - (10/18/2006 Terminated)Colorado
Registered Investment Advisory firm - (11/14/2006 Terminated)Georgia
Registered Investment Advisory firm - (5/24/2012 Terminated)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(1/5/2024)
RR
Arkansas(5/12/2022)
RR
California(5/12/2022)
RR
Colorado(5/12/2022)
RR
Florida(5/12/2022)
RR
Georgia(5/26/2022)
RR
Illinois(5/12/2022)
RR
Indiana(5/12/2022)
RR
Kentucky(6/30/2023)
RR
Louisiana(5/31/2022)
RR
Maryland(5/12/2022)
RR
Mississippi(5/12/2022)
RR
Missouri(5/12/2022)
RR
New Jersey(5/12/2022)
RR
New York(5/12/2022)
RR
North Carolina(5/12/2022)
RR
Ohio(5/12/2022)
RR
Oklahoma(5/12/2022)
RR
Oregon(5/12/2022)
RR
Pennsylvania(5/12/2022)
RR
Rhode Island(5/12/2022)
RR
South Carolina(5/12/2022)
RR
Tennessee(5/12/2022)
RR
Texas(5/12/2022)
IAR
Texas(7/15/2026)
RR
Virginia(5/12/2022)
RR
Washington(5/12/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
Current Firm
AA
ARAX ADVISORY PARTNERS
7258 WEALTH MANAGEMENT, INC. | YOUNG WEALTH MANAGEMENT GROUP, INC. | WELLTH PARTNER | THE DAVIS AGENCY, INC. | SUMMIT WEALTH STRATEGIES | SRS INVESTMENT SERVICES, LLC | SRS CAPITAL ADVISORS, LLC | SRS CAPITAL ADVISORS, INC. | SIMONDAVIS, INC. | SIMONDAVIS ASSET MANAGEMENT, INC. | SIMONDAVIS ASSET MANAGEMENT | SEAL FINANCIAL SERVICES | SCHECHTER INVESTMENT ADVISORS | NOVEN FINANCIAL GROUP | NORTE ADVISORS, LLC | KLEINHENZ & ASSOCIATES LTD. | GEORGINA ASSET MANAGEMENT, LLC | ENDURING WEALTH PARTNERS | CEDRUS LLC | AVERA CAPITAL WEALTH MANAGEMENT, LLC | ARAX ADVISORY PARTNERS, LLC | ARAX ADVISORY PARTNERS
CRD#: 133535 / SEC#: 801-67165
RIA
Registered Investment Advisory firm - (9/20/2006 Approved)California
Registered Investment Advisory firm - (10/18/2006 Terminated)Colorado
Registered Investment Advisory firm - (11/14/2006 Terminated)Georgia
Registered Investment Advisory firm - (5/24/2012 Terminated)Loading...
Contact information
Main Address
730 17th Street Suite 107, Denver, CO 80202
Mailing Address
Phone number
(303) 633-5900
Established
Firm type
Fiscal year end
# of Employees
106
SEC notice filing (34 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 16,559 |
| AUM (Assets Under Management) | $ 8,960,126,874 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
ARAX ADVISORY PARTNERS
Senior Vice President - Wealth Management, USACRD#: 133535Houston, TX 77027TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
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