Leon G. James

TUCKER ASSET MANAGEMENT LLC

San Juan Capistrano, CA 92675

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CRD#: 1055785

Professional summary

Leon Gregory James JR, CFP®, who also goes by Leon Gregory James, is a registered financial advisor currently at TUCKER ASSET MANAGEMENT LLC located in San Juan Capistrano, California.

Leon is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Leon has worked at 12 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Leon Gregory James

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.

Insurance Agent; Investment Related; Dana Point, CA; LOAs in Accident & Health, Life, and Variable Contracts; Approximately X hours/month with X hours during securities trading hours

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Leon Gregory James JR'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®

CFP^®

Certified Financial Planner

Start date: 1987

Experience

Current

April 4, 2022 - Present

TUCKER ASSET MANAGEMENT LLC

Office #1: 27131 Calle Arroyo Suite 1722, San Juan Capistrano, CA 92675

RIA

CRD#: 174844

San Juan Capistrano, CA

Past

March 18, 2014 - June 30, 2022

OPTIVEST, INC.

RIA

CRD#: 137070

DANA POINT, CA

Past

March 5, 2014 - October 28, 2016

GRAMERCY SECURITIES, INC.

CRD#: 8177

DANA POINT, CA

Past

November 30, 2007 - March 3, 2014

CENTAURUS FINANCIAL, INC.

RIA

CRD#: 30833

DANA POINT, CA

Past

November 30, 2007 - March 3, 2014

CENTAURUS FINANCIAL, INC.

CRD#: 30833

DANA POINT, CA

Past

February 27, 2003 - December 3, 2007

GUGGENHEIM DISTRIBUTORS, LLC

CRD#: 40805

IRVINE, CA

Past

January 16, 2003 - August 12, 2013

ANCHOR CAPITAL

RIA

CRD#: 123543

IRVINE, CA

Past

March 14, 2000 - February 7, 2003

CROWN CAPITAL SECURITIES, L.P.

CRD#: 6312

ORANGE, CA

Past

March 31, 1999 - March 14, 2000

MUTUAL SERVICE CORPORATION

CRD#: 4806

BOSTON, MA

Past

June 17, 1996 - March 31, 1999

TITAN/VALUE EQUITIES GROUP, INC.

CRD#: 6359

IRVINE, CA

Past

May 7, 1993 - August 26, 1996

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Past

December 12, 1989 - May 1, 1991

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Past

July 5, 1983 - February 26, 1988

FINANCIAL ADVISORY CLINIC INVESTMENTS, INC.

CRD#: 5990

Past

June 15, 1983 - September 5, 1986

GREEN HILL FINANCIAL SERVICE CORPORATION

CRD#: 4882

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".

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)

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

California
(4/4/2022)

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

Series 63

Date: 7/15/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/28/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 6/14/1983

Investment Company Products/Variable Contracts Representative Examination

Current Firm

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)

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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

SEC notice filing (39 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (3/26/2025)

Regulatory assets under management

Total Number of Accounts	4,243
AUM (Assets Under Management)	$ 640,805,363

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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Advisor Monitoring

Firm Stability Insights

Leon G. James

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Leon Gregory James JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

OPTIVEST, INC.

GRAMERCY SECURITIES, INC.

CENTAURUS FINANCIAL, INC.

CENTAURUS FINANCIAL, INC.

GUGGENHEIM DISTRIBUTORS, LLC

ANCHOR CAPITAL

CROWN CAPITAL SECURITIES, L.P.

MUTUAL SERVICE CORPORATION

TITAN/VALUE EQUITIES GROUP, INC.

WALNUT STREET SECURITIES, INC.

WALNUT STREET SECURITIES, INC.

FINANCIAL ADVISORY CLINIC INVESTMENTS, INC.

GREEN HILL FINANCIAL SERVICE CORPORATION

Primary Firm SEC Registration

TUCKER ASSET MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/15/1993

SIE

Date: 10/28/2016

Series 6

Date: 6/14/1983

Current Firm

TUCKER ASSET MANAGEMENT LLC

Contact information

SEC notice filing (39 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TUCKER ASSET MANAGEMENT LLC

TRUST BUT VERIFY

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