John Tuve, financial advisor Waterloo IA
66 score

John Tuve

CRD Number: 1190043
Current Firm: Tuve Investment Management, Inc.

John Tuve (CRD# 1190043) is an Investment Advisor Representative working at Tuve Investment Management, Inc. in Waterloo, IA and has over 32 years of experience in the finance industry. John Tuve has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Tuve Investment Management, Inc. Waterloo, IA Aug 2015 - Current 1
Purshe Kaplan Sterling Investments Albany, NY Aug 2015 - Current 1
Tuve Investments Waterloo, IA Aug 1982 - Current 34
Lpl Financial Waterloo, IA Jan 1995 - Aug 2015 20
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Feb 1984
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
  • Regulatory Event
Get Details on the FINRA Advisor Check site
Contact Info for John S. Tuve
Phone Number: 319-235-0075
Registered State(s):
  • IA
By the Numbers
  • Total Assets Under Management
  • Total Number of Accounts
  • Average Account Value
Compensation Options
  • A percentage of assets under your management
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Pension consulting services
Types of Clients
Registered States


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