FL
Frances M. Longshore
TUCKER ASSET MANAGEMENT LLC
Houston, TX 77024
Some features on this profile are disabled
CRD#: 1271446
FL
Professional summary
Frances Marie Longshore, CFP®, who also goes by Frances Marie Mccarter, is a registered financial advisor currently at TUCKER ASSET MANAGEMENT LLC located in Houston, Texas.
Frances is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Frances has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Frances Marie Mccarter
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.) OUTSIDE INSURANCE, SELLS MEDICARE SUPPLEMENT, FIXED ANNUITIES, FIXED INSURANCE, LTC, 9/13/11. 2.) Longshore Financial Group, Investment Related, 10497 Town and Country Way, #700, Houston, TX 77024, Insurance Sales, Owner/President, Start Date 06/1988, approximately 100 hours per month all devoted during securities trading hours, Duties: Outside insurance, sells fixed annuities, fixed insurance, long-term care
CRS (Client Relationship Summary) - RIA
Click below to view Frances Marie Longshore'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®
CFP®
Start date: 1997
Experience
Current
April 9, 2021 - Present
TUCKER ASSET MANAGEMENT LLC
Office #1: 10497 Town And Country Way Suite 400, Houston, TX 77024RIA
CRD#: 174844
Houston, TX
Past
August 11, 2011 - October 25, 2016
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
HOUSTON, TX
Past
August 5, 2011 - October 25, 2016
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
HOUSTON, TX
Past
April 11, 2007 - August 1, 2011
SUMMIT FINANCIAL GROUP INC
RIA
CRD#: 109485
HOUSTON, TX
Past
March 21, 2007 - August 1, 2011
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
HOUSTON, TX
Past
October 31, 2005 - March 2, 2007
OSAIC SERVICES, INC.
BD
CRD#: 133763
HOUSTON, TX
Past
June 18, 1989 - October 31, 2005
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
June 20, 1988 - June 18, 1989
SOUTHMARK FINANCIAL SERVICES, INC.
BD
CRD#: 6518
Past
June 5, 1984 - July 19, 1988
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
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
Texas(4/9/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
