John J. Stephens
TCI WEALTH ADVISORS
TUCSON, AZ 85718
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CRD#: 4535774
Professional summary
John Joseph Stephens, CFP® is a registered financial advisor currently at TCI WEALTH ADVISORS, INC. located in Tucson, Arizona.
John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. John has worked at 1 firm and has passed the Series 65 exam.
Biography
John, his wife and five children live in Tucson, AZ. He is actively involved with community youth sports, foster care and children’s health-care advocacy organizations. John serves on the Board of Children’s Clinics for Rehabilitative Services and is active in the local Financial Planning Association (FPA), Chartered Financial Analysts chapter and Southern Arizona Estate Planning Council. He is a sports enthusiast and enjoys horseback riding, cycling and golf. John remains a loyal University of Arizona and Stanford supporter.
Question & Answer
What are your service offerings?
Tax Planning
Investment Planning
Comprehensive Financial Planni...
Estate Planning
Small Business Planning
Retirement Planning
Do you have an area of expertise or specialization?
Business Owners
Corporate Executives
Entrepreneurs
High Net Worth Client Needs
Investment Advice with Ongoing...
Medical Professionals
What is your minimum asset requirement?
500K
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.
sine 2015, managing partner of 5 Daughters, LLC which owns a commercial real estate building. Duties include attending meetings to deal with building maintenance and rental. Approximately 2 hours per month is devoted to this entity, none of the time during security trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view John Joseph Stephens'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®
CFP®
Start date: 2003
Experience
Current
February 24, 2000 - Present
TCI WEALTH ADVISORS, INC.
Office #1: 4011 E. Sunrise Drive, Tucson, AZ 85718RIA
CRD#: 107373
TUCSON, AZ
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".
TCI WEALTH ADVISORS, INC.
AQN INVESTMENT ADVISORS, INC. | THE CONSERVATIVE INVESTOR | TCI WEALTH MANAGEMENT, INC. | TCI WEALTH ADVISORS, INC. | TCI FINANCIAL PLANNING, INC. | TCI ASSET MANAGERS, INC. | SWIFT ROBERT CLARKSON
CRD#: 107373 / SEC#: 801-37083
RIA
Registered Investment Advisory firm - (8/30/1990 Approved)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(2/24/2000)
Current Firm
TCI WEALTH ADVISORS, INC.
AQN INVESTMENT ADVISORS, INC. | THE CONSERVATIVE INVESTOR | TCI WEALTH MANAGEMENT, INC. | TCI WEALTH ADVISORS, INC. | TCI FINANCIAL PLANNING, INC. | TCI ASSET MANAGERS, INC. | SWIFT ROBERT CLARKSON
CRD#: 107373 / SEC#: 801-37083
RIA
Registered Investment Advisory firm - (8/30/1990 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4011 East Sunrise Drive, Tucson, AZ 85718
Mailing Address
Phone number
(520) 733-1477
Established
Firm type
Fiscal year end
# of Employees
60
SEC notice filing (38 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,010 |
| AUM (Assets Under Management) | $ 4,527,183,704 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/08/2025 | ||
| 08/23/2024 | ||
| 10/30/2023 | ||
| 12/22/2022 |
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.
