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Stephen James Tolbert

Arax Advisory Partners

New York, NY

Houston, TX

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Current Employers
Arax Advisory Partners

10 East 53Rd Street 14Th Floor, New York, NY 10022 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2026-07-17
  • TX RA
    APPROVED
    Since 2026-07-17

Branch Locations

10 East 53Rd Street 14Th Floor, New York, NY 10022 • United States

4444 Westheimer Road, Suite G500, Houston, TX 77027 • 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
OrganizationCityStateFromTo
Ubs Financial Services Inc Houston TX 01/2009 05/2022
Usca Securities Llc Houston TX 05/2022 Present
U.S. Capital Wealth Advisors Llc Houston TX 05/2022 06/2026
Arax Advisory Partners Houston TX 06/2026 Present
Previous Registrations
  • 2022-05-12 → 2026-07-21
    U.S. Capital Wealth Advisors, Llc
    Houston, TX
  • 2009-01-22 → 2022-06-06
    Ubs Financial Services Inc.
    Houston, TX
    Houston, TX
    Houston, TX
    Houston, TX
  • 2007-04-02 → 2009-01-26
    Morgan Stanley & Co. Llc
    Houston, TX
  • 1990-12-17 → 2007-04-02
    Morgan Stanley Dw Inc.
    Houston, TX
    Houston, TX
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1990-10-31
  • S63 Uniform Securities Agent State Law Examination
    1990-10-31
Other Names
  • Stephen James Tolbert
  • Stephen James Tolbert

View on SEC IAPD

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ISLET MANAGEMENT, LP · NEW YORK, NY
P2 CAPITAL PARTNERS, LLC · NEW YORK, NY
KINYAN CAPITAL MANAGEMENT LLC · NEW YORK, NY
BRIGHTSPIRE CAPITAL ADVISORS, LLC · NEW YORK, NY
ACORN ADVISORY CAPITAL, L.P. · NEW YORK, NY
COMPASS GROUP LLC · NEW YORK, NY
CRESTVIEW PARTNERS · NEW YORK, NY
LEEDS EQUITY PARTNERS · NEW YORK, NY

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