AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
JR

John T. Rupp

Some features on this profile are disabled
CRD#: 2440346
JR

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.

John Tempest Rupp, who also goes by John Rupp, was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1994. John had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 55, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

John Rupp

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.

Blog Corner

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®
None

Experience

Past

December 21, 2011 - May 18, 2016

STRATEGIC FINANCIAL CONCEPTS, LLC

RIA
CRD#: 141849
WEST PALM BEACH, FL
Past

October 24, 2011 - October 25, 2011

LPL FINANCIAL LLC

RIA
CRD#: 6413
WEST PALM BEACH, FL
Past

October 17, 2011 - June 22, 2016

LPL FINANCIAL LLC

BD
CRD#: 6413
WEST PALM BEACH, FL
Past

June 1, 2009 - October 11, 2011

MORGAN STANLEY

RIA
CRD#: 149777
W. PALM BEACH, FL
Past

June 1, 2009 - October 11, 2011

MORGAN STANLEY

BD
CRD#: 149777
W. PALM BEACH, FL
Past

July 16, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
W. PALM BEACH, FL
Past

May 11, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
W. PALM BEACH, FL
Past

August 16, 2005 - January 26, 2007

UST SECURITIES CORP.

BD
CRD#: 13906
STAMFORD, CT
Past

December 13, 1999 - July 27, 2005

STERLING FINANCIAL INVESTMENT GROUP, INC.

BD
CRD#: 41506
BOCA RATON, FL
Past

November 12, 1999 - November 23, 1999

AVALON RESEARCH GROUP, INC.

BD
CRD#: 39815
BOCA RATON, FL
Past

July 14, 1998 - May 3, 1999

RESRV PARTNERS, INC.

BD
CRD#: 10273
NEW YORK, NY
Past

June 11, 1994 - August 30, 1996

COWEN EXECUTION SERVICES LLC

BD
CRD#: 35693
NEW YORK, NY
Past

January 24, 1994 - April 8, 1994

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY

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".
SF
STRATEGIC FINANCIAL CONCEPTS, LLC
AGILE RETIREMENT MANAGEMENT | WWK WEALTH ADVISORS | WEALTH MANAGEMENT DIVISION OF CAPITOL CREDIT UNION | TRILOGY FINANCIAL PLANNING | THE RETIREMENT ANSWER MAN | TEXAS PRIVATE ASSET MANAGEMENT LLC | STRATEGIC FINANCIAL CONCEPTS, LLC | STEVENS WEALTH MANAGEMENT | SEIDENBERGER & COMPANY | ROUND ROCK ASSET MANAGEMENT LLC | ROMANO WEALTH MANAGEMENT | RETIREVEST FINANCIAL SOLUTIONS, LLC. | RED OAK FINANCIAL ASSET MANAGEMENT | ONE XVI WEALTH, LLC | OAKS WEALTH MANAGEMENT | NFA WEALTH MANAGEMENT | NFA INSTITUTIONAL SERVICES | NFA EMPOWERS | NATIONAL FINANCIAL ALLIANCE, LLC | MOFFATT FINANCIAL STRATEGIES | MEIGS FINANCIAL ADVISORS, LLC | MAYFIELD STEVENS FINANCIAL ADVISORS | JEFFREY SOLINSKY WEALTH MANAGEMENT | JEFFERY L. SOLINSKY WEALTH MANAGEMENT, A DIVISION OF SOLINSKY GROUP | G2 WEALTH MANAGEMENT PARTNERS, LLC | CORPORATE FINANCIAL STRATEGIES, LLC | CONCHO INVESTMENT ADVISORS | CHRISTENSEN FINANCIAL SERVICES, INC. | CARROLL ADVISORY GROUP | CAPITAL RETIREMENT PLANNING GROUP | BURNET WEALTH MANAGEMENT, PLLC | BURNET ASSET MANAGEMENT | BUBELA WEALTH MANAGEMENT | BENEFIT PLANNING GROUP INSURANCE & WEALTH MANAGEMENT | BENEFIT PLANNING GROUP | BB&A FINANCIAL GROUP | ASSET PLANNING & CONSULTING LLC

CRD#: 141849 / SEC#: 801-67243

RIA
Registered Investment Advisory firm - (10/24/2006 Approved)

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
RR
IAR
Series 66
Date: 6/26/2007
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 6/17/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/22/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 7/11/2007
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 55
Date: 5/6/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 1/21/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/16/2001
General Securities Principal Examination

Current Firm

SF
STRATEGIC FINANCIAL CONCEPTS, LLC
AGILE RETIREMENT MANAGEMENT | WWK WEALTH ADVISORS | WEALTH MANAGEMENT DIVISION OF CAPITOL CREDIT UNION | TRILOGY FINANCIAL PLANNING | THE RETIREMENT ANSWER MAN | TEXAS PRIVATE ASSET MANAGEMENT LLC | STRATEGIC FINANCIAL CONCEPTS, LLC | STEVENS WEALTH MANAGEMENT | SEIDENBERGER & COMPANY | ROUND ROCK ASSET MANAGEMENT LLC | ROMANO WEALTH MANAGEMENT | RETIREVEST FINANCIAL SOLUTIONS, LLC. | RED OAK FINANCIAL ASSET MANAGEMENT | ONE XVI WEALTH, LLC | OAKS WEALTH MANAGEMENT | NFA WEALTH MANAGEMENT | NFA INSTITUTIONAL SERVICES | NFA EMPOWERS | NATIONAL FINANCIAL ALLIANCE, LLC | MOFFATT FINANCIAL STRATEGIES | MEIGS FINANCIAL ADVISORS, LLC | MAYFIELD STEVENS FINANCIAL ADVISORS | JEFFREY SOLINSKY WEALTH MANAGEMENT | JEFFERY L. SOLINSKY WEALTH MANAGEMENT, A DIVISION OF SOLINSKY GROUP | G2 WEALTH MANAGEMENT PARTNERS, LLC | CORPORATE FINANCIAL STRATEGIES, LLC | CONCHO INVESTMENT ADVISORS | CHRISTENSEN FINANCIAL SERVICES, INC. | CARROLL ADVISORY GROUP | CAPITAL RETIREMENT PLANNING GROUP | BURNET WEALTH MANAGEMENT, PLLC | BURNET ASSET MANAGEMENT | BUBELA WEALTH MANAGEMENT | BENEFIT PLANNING GROUP INSURANCE & WEALTH MANAGEMENT | BENEFIT PLANNING GROUP | BB&A FINANCIAL GROUP | ASSET PLANNING & CONSULTING LLC

CRD#: 141849 / SEC#: 801-67243

RIA
Registered Investment Advisory firm - (10/24/2006 Approved)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
901 Ne Loop 410 Suite 100, San Antonio, TX 78209
Mailing Address
Phone number
(210) 737-7800
Established
Firm type
Fiscal year end
# of Employees
41

SEC notice filing (35 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FIRM BROCHURE (3/20/2025)

Regulatory assets under management

Total Number of Accounts3,290
AUM (Assets Under Management)$ 1,006,017,397

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.

Company Information

STRATEGIC FINANCIAL CONCEPTS, LLC

CRD#: 141849

TRUST BUT VERIFY

Monitor John Rupp

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics