Stephen Lee Tufts

Employer firm

Rising Sun Investment Advisers CRD 309222

$9.91M regulatory AUM

Reported services (Item 5G)

Portfolio management (individuals)

From the firm’s Form ADV. Read the guides:

Current Employers

Rising Sun Investment Advisers

Tucson, AZ • United States

Current Registrations

Authority	Category	Status	Date
AZ	RA	APPROVED	2020-06-15

AZ RA
APPROVED

Since 2020-06-15

Branch Locations

Tucson, AZ • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Wells Fargo Bank N.A.	Tucson	AZ	05/2001	Present
Wells Fargo Advisors Llc	Scottsdale	AZ	01/2011	Present

05/2001 → Present

Wells Fargo Bank N.A.

Tucson, AZ
01/2011 → Present

Wells Fargo Advisors Llc

Scottsdale, AZ

Previous Registrations

2011-01-03 → 2014-11-28

Wells Fargo Clearing Services, Llc

Minneapolis, MN

Scottsdale, AZ

Scottsdale, AZ

Charlotte, NC
2008-04-29 → 2011-01-03

Wells Fargo Investments, Llc

Scottsdale, AZ

Other Businesses

TRUSTEE FOR MOTHER'S TRUST; INVSTMENT RELATED; LAWRENCEBURG, IN; 2 HRS PER MONTH; 0 HRS DURING TRADING. TRUSTEE FOR FATHER'S TRUST; INVSTMENT RELATED; LAWRENCEBURG, IN; 2 HRS PER MONTH; 0 HRS DURING TRADING.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2008-04-21
S63	Uniform Securities Agent State Law Examination	2000-09-14

S66 Uniform Combined State Law Examination

2008-04-21
S63 Uniform Securities Agent State Law Examination

2000-09-14

Designations

Chartered Financial Analyst

View on SEC IAPD