Stephen F. Tripodi

ARGUS EQUITY PARTNERS

Amherst, NY

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CRD#: 721461

Professional summary

Stephen Fiore Tripodi is a registered financial advisor currently at ARGUS EQUITY PARTNERS, LLC located in Amherst, New York.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1980. Stephen has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 4 and Series 24 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.

STEPHEN F TRIPODI SNYDER, NY 14226 OWNS REAL ESTATE AND COLLECT RENTS OWNS REAL ESTATE WITH 2 OTHER PEOPLE STEVE IS SOLE PROPRIETOR - STEPHEN F. TRIPODI OWNED PROPERTIES SINCE 1978 THIS IS NOT SECURITIES RELATED ADVERTISES OCCASIONALLY TO LIST AN APARTMENT FOR RENT OR BUILDING FOR SALE. HOURS APPROX 2 HR PER WEEK ARGUS EQUITY PARTNERS, LLC SNYDER, NY 14226 NATURE OF THE OUTSIDE BUSINESS: BUSINESS ENTITY DBA FOR BROKERAGE AND INSURANCE ACTIVITY RELATIONSHIP OF BUSINESS: PARTNER START DATE: TBD APPROXIMATE NUMBER OF HOURS PER MONTH - 0 HOURS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Fiore Tripodi's CRS (Customer Relationship Summary).

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

August 5, 2021 - Present

ARGUS EQUITY PARTNERS, LLC

RIA

CRD#: 306518

Amherst, NY

Past

July 7, 2011 - December 19, 2019

PORTFOLIO ADVISORS ALLIANCE, LLC

CRD#: 101680

SNYDER, NY

Past

October 16, 1997 - June 21, 2011

LASALLE ST SECURITIES, L.L.C.

CRD#: 7191

WILLIAMSVILLE, NY

Past

December 1, 1994 - October 16, 1997

SAPERSTON FINANCIAL INC.

CRD#: 27863

BUFFALO, NY

Past

March 10, 1986 - December 15, 1994

ADVEST, INC.

CRD#: 10

HARTFORD, CT

Past

May 24, 1983 - March 21, 1986

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

Past

April 5, 1982 - June 10, 1983

L. F. ROTHSCHILD & CO. INCORPORATED

CRD#: 501

Past

December 22, 1980 - July 6, 1981

FIRST JERSEY SECURITIES, INC.

CRD#: 6621

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".

ARGUS EQUITY PARTNERS, LLC

CRD#: 306518 / SEC#: 801-121610

RIA

Registered Investment Advisory firm - (6/25/2021 Approved)

New York

Registered Investment Advisory firm - (7/9/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

New York
(8/5/2021)

IAR

Texas
(9/16/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/23/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/2/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/20/1980

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 1/29/2012

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 1/6/2005

General Securities Principal Examination

Current Firm

ARGUS EQUITY PARTNERS, LLC

CRD#: 306518 / SEC#: 801-121610

RIA

Registered Investment Advisory firm - (6/25/2021 Approved)

New York

Registered Investment Advisory firm - (7/9/2021 Terminated)

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Contact information

Main Address

Amherst, NY

Mailing Address

Phone number

(716) 838-5504

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A- ARGUS EQUITY PARTNERS, LLC (3/5/2025)

Regulatory assets under management

Total Number of Accounts	192
AUM (Assets Under Management)	$ 53,247,419

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.

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Stephen F. Tripodi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Fiore Tripodi's CRS (Customer Relationship Summary).

Certified licenses

Experience

PORTFOLIO ADVISORS ALLIANCE, LLC

LASALLE ST SECURITIES, L.L.C.

SAPERSTON FINANCIAL INC.

ADVEST, INC.

PRUDENTIAL EQUITY GROUP, LLC

L. F. ROTHSCHILD & CO. INCORPORATED

FIRST JERSEY SECURITIES, INC.

Primary Firm SEC Registration

ARGUS EQUITY PARTNERS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/23/2019

Series 63

Date: 11/2/1983

SIE

Date: 10/1/2018

Series 7

Date: 12/20/1980

Series 4

Date: 1/29/2012

Series 24

Date: 1/6/2005

Current Firm

ARGUS EQUITY PARTNERS, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ARGUS EQUITY PARTNERS, LLC

TRUST BUT VERIFY

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