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ST

Stephen L. Tufts

RISING SUN INVESTMENT ADVISERS
Tucson, AZ
Some features on this profile are disabled
CRD#: 4076496
ST

Professional summary

Stephen Lee Tufts is a registered financial advisor currently at RISING SUN INVESTMENT ADVISERS located in Tucson, Arizona.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Stephen has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

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) - RIA

Click below to view Stephen Lee Tufts'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®
None

Experience

Current

June 15, 2020 - Present

RISING SUN INVESTMENT ADVISERS

RIA
CRD#: 309222
Tucson, AZ
Past

January 3, 2011 - November 28, 2014

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
SCOTTSDALE, AZ
Past

January 3, 2011 - November 28, 2014

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
SCOTTSDALE, AZ
Past

April 29, 2008 - January 3, 2011

WELLS FARGO INVESTMENTS, LLC

RIA
CRD#: 10582
SCOTTSDALE, AZ
Past

January 25, 2007 - January 3, 2011

WELLS FARGO INVESTMENTS, LLC

BD
CRD#: 10582
SCOTTSDALE, AZ
Past

May 2, 2001 - May 4, 2005

WELLS FARGO INVESTMENTS, LLC

BD
CRD#: 10582
SAN FRANCISCO, CA
Past

August 15, 2000 - May 2, 2001

WELLS FARGO SECURITIES INC.

BD
CRD#: 17438
SAN FRANCISCO, CA

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.

Highlighted states indicate IAR registrations

IAR
Arizona
(6/15/2020)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/21/2008
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 9/14/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 11/28/2014
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 10
Date: 12/4/2007
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 6/25/2007
General Securities Sales Supervisor - Options Module Examination

Current Firm

RS
RISING SUN INVESTMENT ADVISERS
RISING SUN INVESTMENT ADVISERS | RISING SUN INVESTMENT ADVISERS, LLC

CRD#: 309222 / SEC#:

Arizona
Registered Investment Advisory firm - (6/15/2020 Approved)
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Contact information

Main Address
Tucson, AZ
Mailing Address
5410 N Grey Mountain Trail, Tucson, AZ 85750
Phone number
(480) 760-5789
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts2
AUM (Assets Under Management)$ 9,907,189

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

RISING SUN INVESTMENT ADVISERS

CRD#: 309222Tucson, AZ

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