RA
Rick D. Althoff
TUCKER ASSET MANAGEMENT LLC
Sioux Falls, SD 57105
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CRD#: 1002871
RA
Professional summary
Rick Dean Althoff is a registered financial advisor currently at TUCKER ASSET MANAGEMENT LLC located in Sioux Falls, South Dakota.
Rick is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. Rick has worked at 6 firms and has passed the Series 65, Series 63 and Series 6 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.
1.)INDEPENDENT INSURANCE AGENT, INVESTMENT RELATED, SIOUX FALLS, SD, START DATE 1978, LINES OF AUTHORITY INCLUDE LIFE & HEALTH, APPROXIMATELY 40 HOURS/MONTH WITH ALL HOURS DURING DURING SECURITIES TRADING HOURS
CRS (Client Relationship Summary) - RIA
Click below to view Rick Dean Althoff'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®
NoneExperience
Current
February 26, 2021 - Present
TUCKER ASSET MANAGEMENT LLC
Office #1: 409 E 41st St, Sioux Falls, SD 57105RIA
CRD#: 174844
Sioux Falls, SD
Past
April 28, 2004 - January 31, 2005
NEW ENGLAND SECURITIES
RIA
CRD#: 615
YANKTON, SD
Past
June 19, 2003 - January 31, 2005
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
May 3, 1999 - October 7, 2002
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
NEW YORK, NY
Past
July 12, 1995 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
Past
December 14, 1987 - May 27, 1993
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
February 4, 1982 - May 27, 1993
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MILWAUKEE, WI
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".
TA
TUCKER ASSET MANAGEMENT LLC
TUCKER ASSET MANAGEMENT LLC | TUCKER WEALTH | TUCKER ASSET MANAGEMENT, LLC
CRD#: 174844 / SEC#: 801-107110
RIA
Registered Investment Advisory firm - (1/13/2016 Approved)Colorado
Registered Investment Advisory firm - (1/28/2016 Terminated)Georgia
Registered Investment Advisory firm - (2/12/2016 Terminated)Iowa
Registered Investment Advisory firm - (1/26/2016 Terminated)Louisiana
Registered Investment Advisory firm - (1/26/2016 Terminated)Massachusetts
Registered Investment Advisory firm - (1/22/2016 Terminated)Montana
Registered Investment Advisory firm - (1/22/2016 Terminated)Nebraska
Registered Investment Advisory firm - (12/31/2015 Terminated)New Jersey
Registered Investment Advisory firm - (1/22/2016 Terminated)North Carolina
Registered Investment Advisory firm - (1/22/2016 Terminated)Ohio
Registered Investment Advisory firm - (1/22/2016 Terminated)Texas
Registered Investment Advisory firm - (1/22/2016 Terminated)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
South Dakota(2/26/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Current Firm
TA
TUCKER ASSET MANAGEMENT LLC
TUCKER ASSET MANAGEMENT LLC | TUCKER WEALTH | TUCKER ASSET MANAGEMENT, LLC
CRD#: 174844 / SEC#: 801-107110
RIA
Registered Investment Advisory firm - (1/13/2016 Approved)Colorado
Registered Investment Advisory firm - (1/28/2016 Terminated)Georgia
Registered Investment Advisory firm - (2/12/2016 Terminated)Iowa
Registered Investment Advisory firm - (1/26/2016 Terminated)Louisiana
Registered Investment Advisory firm - (1/26/2016 Terminated)Massachusetts
Registered Investment Advisory firm - (1/22/2016 Terminated)Montana
Registered Investment Advisory firm - (1/22/2016 Terminated)Nebraska
Registered Investment Advisory firm - (12/31/2015 Terminated)New Jersey
Registered Investment Advisory firm - (1/22/2016 Terminated)North Carolina
Registered Investment Advisory firm - (1/22/2016 Terminated)Ohio
Registered Investment Advisory firm - (1/22/2016 Terminated)Texas
Registered Investment Advisory firm - (1/22/2016 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1520 West Canal Court Suite 100, Littleton, CO 80120
Mailing Address
Phone number
(303) 734-1234
Established
Firm type
Fiscal year end
# of Employees
80
SEC notice filing (39 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 4,243 |
| AUM (Assets Under Management) | $ 640,805,363 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
