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SJ

Stephen M. John

TORTOISE WEALTH MANAGEMENT
Tempe, AZ 85282
Some features on this profile are disabled
CRD#: 6441379
SJ

Professional summary

Stephen Michael John is a registered financial advisor currently at TORTOISE WEALTH MANAGEMENT located in Tempe, Arizona.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Stephen has worked at 4 firms and has passed the Series 66, SIE and Series 7 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 Michael John'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

September 3, 2024 - Present

TORTOISE WEALTH MANAGEMENT

Office #1: 4515 S. Lakeshore Drive Suite 103, Tempe, AZ 85282
RIA
CRD#: 332492
Tempe, AZ
Past

April 13, 2022 - September 9, 2024

NORTHSIGHT WEALTH MANAGEMENT

RIA
CRD#: 284295
Tempe, AZ
Past

September 16, 2016 - April 7, 2022

FFEC WEALTH PARTNERS LLC

RIA
CRD#: 16507
Tempe, AZ
Past

August 31, 2016 - April 7, 2022

FFEC WEALTH PARTNERS LLC

BD
CRD#: 16507
Tempe, AZ
Past

January 19, 2016 - June 28, 2016

WADDELL & REED

RIA
CRD#: 866
SCOTTSDALE, AZ
Past

May 7, 2015 - June 28, 2016

WADDELL & REED

BD
CRD#: 866
SCOTTSDALE, AZ

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
(9/3/2024)
IAR
Texas
(9/3/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/26/2015
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/6/2015
General Securities Representative Examination

Current Firm

TW
TORTOISE WEALTH MANAGEMENT
TORTOISE WEALTH MANAGEMENT | TORTOISE WEALTH MANAGEMENT LLC

CRD#: 332492 / SEC#:

Arizona
Registered Investment Advisory firm - (9/3/2024 Approved)
Texas
Registered Investment Advisory firm - (8/14/2024 Conditional Restricted)
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Contact information

Main Address
4667 South Lakeshore Drive Suite 1, Tempe, AZ 85282
Mailing Address
Phone number
(480) 242-1553
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts80
AUM (Assets Under Management)$ 11,181,491

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

TORTOISE WEALTH MANAGEMENT

CRD#: 332492Tempe, AZ 85282

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