ST
Stephen W. Tobin
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CRD#: 2191286
ST
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.
Stephen Wayne Tobin, who also goes by Steve Tobin, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1992. Stephen had worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Steve Tobin
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)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
January 5, 2026 - January 23, 2026
FOUNDATIONS INVESTMENT ADVISORS LLC
RIA
CRD#: 175083
PARIS, KY
Past
December 18, 2025 - December 31, 2025
FOUNDATIONS INVESTMENT ADVISORS LLC
RIA
CRD#: 175083
PARIS, KY
Past
December 9, 2022 - April 18, 2024
PREVETT FINANCIAL
RIA
CRD#: 307753
BEREA, KY
Past
March 11, 2022 - June 10, 2022
ALPHASTAR CAPITAL MANAGEMENT
RIA
CRD#: 157423
Mount Sterling, KY
Past
January 3, 2022 - February 23, 2022
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
Paris, KY
Past
October 15, 2020 - November 30, 2021
LIFEPRO ASSET MANAGEMENT
RIA
CRD#: 285252
Paris, KY
Past
January 30, 2019 - May 7, 2019
FWG INVESTMENTS, LLC
RIA
CRD#: 284064
LEXINGTON, KY
Past
December 26, 2017 - February 4, 2019
OSAIC FS, INC.
RIA
CRD#: 3870
LEXINGTON, KY
Past
December 26, 2017 - February 4, 2019
OSAIC FS, INC.
BD
CRD#: 3870
LEXINGTON, KY
Past
October 31, 2014 - December 26, 2017
CUNA BROKERAGE SERVICES, INC.
RIA
CRD#: 13941
Georgetown, KY
Past
October 31, 2014 - December 26, 2017
CUNA BROKERAGE SERVICES, INC.
BD
CRD#: 13941
Georgetown, KY
Past
January 4, 2013 - October 29, 2014
INVEST FINANCIAL CORPORATION
RIA
CRD#: 12984
FRANKFORT, KY
Past
January 2, 2013 - October 29, 2014
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
FRANKFORT, KY
Past
December 10, 2009 - January 4, 2013
CUNA BROKERAGE SERVICES, INC.
RIA
CRD#: 13941
FRANKFORT, KY
Past
November 10, 2008 - January 4, 2013
CUNA BROKERAGE SERVICES, INC.
BD
CRD#: 13941
FRANKFORT, KY
Past
August 14, 2008 - November 3, 2008
AMERITAS INVESTMENT COMPANY, LLC
BD
CRD#: 14869
PARIS, KY
Past
February 27, 2007 - May 12, 2008
SOUTHERN FARM BUREAU FUND DISTRIBUTOR, INC.
BD
CRD#: 10194
JACKSON, MS
Past
December 20, 2005 - January 12, 2007
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
LEXINGTON, KY
Past
January 14, 2005 - December 19, 2005
OSAIC FS, INC.
BD
CRD#: 3870
FORT WAYNE, IN
Past
November 29, 2004 - December 16, 2004
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
Past
March 10, 2004 - November 10, 2004
LPL FINANCIAL LLC
RIA
CRD#: 6413
LEXINGTON, KY
Past
March 10, 2004 - November 10, 2004
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
August 7, 2003 - March 15, 2004
OSAIC FS, INC.
RIA
CRD#: 3870
PARIS, KY
Past
May 17, 2001 - March 15, 2004
OSAIC FS, INC.
BD
CRD#: 3870
FORT WAYNE, IN
Past
March 2, 1992 - May 19, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
Past
March 2, 1992 - May 19, 1992
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
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".
FI
FOUNDATIONS INVESTMENT ADVISORS LLC
5 MONEY MYTHS | WISER FINANCIAL ADVISORS | WEALTH CONSCIOUS | WAY FINANCIAL AND INSURANCE SERVICES, INC. | WAY FINANCIAL AND INSURANCE SERVICES | VITAL RETIREMENT PLANNERS | TRUE FINANCIAL | THE HIDDEN WEALTH SOLUTION | THE ESTATE AND RETIREMENT PLANNING CENTER | THE ADVISORS GROUP | TGW WEALTH MANAGEMENT | SUREPLAN FINANCIAL, INC. | SUMMIT FINANCIAL SERVICES | STEWART FINANCIAL SERVICES | SPINELLI WEALTH MANAGEMENT | SPECTRUM ADVISORY GROUP, LLC | SOVEREIGN WEALTH MANAGEMENT | SMART MONEY ADVISORS | SL CAPITAL WEALTH | SIMON & SIMON FINANCIAL, LLC | SIGNATURE WEALTH AND TAX | SECURE MONEY ADVISORS | SECRETARIO FINANCIAL, LLC | SARASOTA WEALTH ADVISORY | ROBERTS WEALTH MANAGEMENT OF MS, LLC | ROBBIN BROOME, INC. | RO ADVISORY SERVICES, LLC | RISE NORTH CAPITAL | RETIREMENT PLANS, LLC | RETIREMENT OUTFITTERS LLC | RETIREMENT OUTFITTERS | RETIRE SIMPLY | REJOYCE FINANCIAL | RDW FINANCIAL GROUP | QUEST COMMONWEALTH | PFIS FINANCIAL | NORTHERN ALLIANCE FINANCIAL | NATHAN FORT, LLC | MORIARTY FINANCIAL SERVICES | MONTINI & COMPANY TAX ADVISORY | MONTINI & CO TAX ADVISORY GROUP | MOMENTUM FINANCIAL AND INSURANCE SERVICES, LLC | MCLEAN ADVISORY GROUP | MCKINNEY MOORE WEALTH MANAGEMENT | MASSIF WEALTH SYSTEMS | MARKIEWICZ FINANCIAL GROUP | MARKET ADVISORY GROUP | MALIA FINANCIAL GROUP | LONGSHAW FINANCIAL GROUP | LOGAN GROUP | LIVE WELL ASSET MANAGEMENT | LIBERTY ADVISORY GROUP | KELLY FINANCIAL SERVICES | JP SANTANIELLO RETIREMENT PLANNING SOLUTIONS | JEREMY P. BARNARD, LLC | J.M. ARBOUR | IPG FINANCIAL | INTRINSIC WEALTH STRATEGIES, INC. | IMPACT PARTNERS FINANCIAL, LLC | HUGHES & DERN FINANCIAL GROUP | HTR GROUP, N.E., LLC, THE HELP TO RETIRE GROUP, THE HTR GROUP | HTR GROUP N.E., LLC | HANSON FINANCIAL SERVICES, LLC | GUARDIAN INVESTMENT ADVISORS | GOLDEN EAGLE FINANCIAL, LTD. | GAISER FINANCIAL GROUP | FUNDAMENTAL WEALTH DESIGNS | FUCHS FINANCIAL | FREEDOM RETIREMENT SERVICES | FREEDOM INSURANCE AND FINANCIAL SOLUTIONS | FOUNDATIONS INVESTMENT ADVISORS LLC | FINANCIAL SECURITY ASSOCIATES INCORPORATED | FINANCIAL GRAVITY WEALTH | FIAT WEALTH MANAGEMENT | EVANS FINANCIAL GROUP / VETWEALTH | DONATO WEALTH MANAGEMENT, PLLC | DETROIT FINANCIAL | DAGHER FINANCIAL, LLC | CREATIVE SENIOR SOLUTIONS | CORNERSTONE CAPITAL MANAGEMENT | COMPLETE WEALTH STRATEGY | COMPASS RETIREMENT | COMPASS FINANCIAL | COASTAL FINANCIAL ADVISORS, LLC | CLEARPATH WEALTH ADVISORS | CLARK WEALTH MANAGEMENT, LLC | CHICAGO ONE FINANCIAL | CHAMBERLIN GROUP | CHADMERE CAPITAL | CASHMORE INVESTMENTS | CAPITOL PLANNING GROUP | BRIGHT WEALTH MANAGEMENT | BIG FINANCIAL SERVICES LLC | ASSET PRESERVATION TAX & RETIREMENT, LLC | ASSET MANAGEMENT GROUP, INC. | ARTESIAN FINANCIAL GROUP | ANDREWS FINANCIAL SERVICES | ALPHA 1 TAX & WEALTH MANAGEMENT, LLC | ALLON PLANNING PARTNERS | AJM FINANCIAL | A4 FINANCIAL
CRD#: 175083 / SEC#: 801-100512
RIA
Registered Investment Advisory firm - (7/13/2015 Approved)Arizona
Registered Investment Advisory firm - (7/18/2015 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
FI
FOUNDATIONS INVESTMENT ADVISORS LLC
5 MONEY MYTHS | WISER FINANCIAL ADVISORS | WEALTH CONSCIOUS | WAY FINANCIAL AND INSURANCE SERVICES, INC. | WAY FINANCIAL AND INSURANCE SERVICES | VITAL RETIREMENT PLANNERS | TRUE FINANCIAL | THE HIDDEN WEALTH SOLUTION | THE ESTATE AND RETIREMENT PLANNING CENTER | THE ADVISORS GROUP | TGW WEALTH MANAGEMENT | SUREPLAN FINANCIAL, INC. | SUMMIT FINANCIAL SERVICES | STEWART FINANCIAL SERVICES | SPINELLI WEALTH MANAGEMENT | SPECTRUM ADVISORY GROUP, LLC | SOVEREIGN WEALTH MANAGEMENT | SMART MONEY ADVISORS | SL CAPITAL WEALTH | SIMON & SIMON FINANCIAL, LLC | SIGNATURE WEALTH AND TAX | SECURE MONEY ADVISORS | SECRETARIO FINANCIAL, LLC | SARASOTA WEALTH ADVISORY | ROBERTS WEALTH MANAGEMENT OF MS, LLC | ROBBIN BROOME, INC. | RO ADVISORY SERVICES, LLC | RISE NORTH CAPITAL | RETIREMENT PLANS, LLC | RETIREMENT OUTFITTERS LLC | RETIREMENT OUTFITTERS | RETIRE SIMPLY | REJOYCE FINANCIAL | RDW FINANCIAL GROUP | QUEST COMMONWEALTH | PFIS FINANCIAL | NORTHERN ALLIANCE FINANCIAL | NATHAN FORT, LLC | MORIARTY FINANCIAL SERVICES | MONTINI & COMPANY TAX ADVISORY | MONTINI & CO TAX ADVISORY GROUP | MOMENTUM FINANCIAL AND INSURANCE SERVICES, LLC | MCLEAN ADVISORY GROUP | MCKINNEY MOORE WEALTH MANAGEMENT | MASSIF WEALTH SYSTEMS | MARKIEWICZ FINANCIAL GROUP | MARKET ADVISORY GROUP | MALIA FINANCIAL GROUP | LONGSHAW FINANCIAL GROUP | LOGAN GROUP | LIVE WELL ASSET MANAGEMENT | LIBERTY ADVISORY GROUP | KELLY FINANCIAL SERVICES | JP SANTANIELLO RETIREMENT PLANNING SOLUTIONS | JEREMY P. BARNARD, LLC | J.M. ARBOUR | IPG FINANCIAL | INTRINSIC WEALTH STRATEGIES, INC. | IMPACT PARTNERS FINANCIAL, LLC | HUGHES & DERN FINANCIAL GROUP | HTR GROUP, N.E., LLC, THE HELP TO RETIRE GROUP, THE HTR GROUP | HTR GROUP N.E., LLC | HANSON FINANCIAL SERVICES, LLC | GUARDIAN INVESTMENT ADVISORS | GOLDEN EAGLE FINANCIAL, LTD. | GAISER FINANCIAL GROUP | FUNDAMENTAL WEALTH DESIGNS | FUCHS FINANCIAL | FREEDOM RETIREMENT SERVICES | FREEDOM INSURANCE AND FINANCIAL SOLUTIONS | FOUNDATIONS INVESTMENT ADVISORS LLC | FINANCIAL SECURITY ASSOCIATES INCORPORATED | FINANCIAL GRAVITY WEALTH | FIAT WEALTH MANAGEMENT | EVANS FINANCIAL GROUP / VETWEALTH | DONATO WEALTH MANAGEMENT, PLLC | DETROIT FINANCIAL | DAGHER FINANCIAL, LLC | CREATIVE SENIOR SOLUTIONS | CORNERSTONE CAPITAL MANAGEMENT | COMPLETE WEALTH STRATEGY | COMPASS RETIREMENT | COMPASS FINANCIAL | COASTAL FINANCIAL ADVISORS, LLC | CLEARPATH WEALTH ADVISORS | CLARK WEALTH MANAGEMENT, LLC | CHICAGO ONE FINANCIAL | CHAMBERLIN GROUP | CHADMERE CAPITAL | CASHMORE INVESTMENTS | CAPITOL PLANNING GROUP | BRIGHT WEALTH MANAGEMENT | BIG FINANCIAL SERVICES LLC | ASSET PRESERVATION TAX & RETIREMENT, LLC | ASSET MANAGEMENT GROUP, INC. | ARTESIAN FINANCIAL GROUP | ANDREWS FINANCIAL SERVICES | ALPHA 1 TAX & WEALTH MANAGEMENT, LLC | ALLON PLANNING PARTNERS | AJM FINANCIAL | A4 FINANCIAL
CRD#: 175083 / SEC#: 801-100512
RIA
Registered Investment Advisory firm - (7/13/2015 Approved)Arizona
Registered Investment Advisory firm - (7/18/2015 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4050 E. Cotton Center Blvd. Suite 40, Phoenix, AZ 85040
Mailing Address
Phone number
(480) 626-2979
Established
Firm type
Fiscal year end
# of Employees
284
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 53,653 |
| AUM (Assets Under Management) | $ 7,184,472,288 |
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.
