LR
Lillian S. Realph
TUCKER ASSET MANAGEMENT LLC
Columbus, OH
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CRD#: 1331884
LR
Professional summary
Lillian Sophia Realph, who also goes by Lillian Sophia Shaughnessy, Lillian Sophia Szajnowsky, Lillian Sophia Shaughnessy, Lillian Sophia Szajnowsky, is a registered financial advisor currently at TUCKER ASSET MANAGEMENT LLC located in Columbus, Ohio.
Lillian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Lillian has worked at 8 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Lillian Sophia Shaughnessy | Lillian Sophia Szajnowsky | Lillian Sophia Shaughnessy | Lillian Sophia Szajnowsky
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; 1234 Bryden Road, Columbus, OH 43205; 614-588-2683; Insurance; Insurance Agent; Start date: 02/2020; Approximately 80 hours/month with 80 hours/month during securities trading hours; Duties: Selling Insurance Products. 2.) Liliken Properties, LTD; Investment-Related; Columbus, OH; Rental Properties; Partner, Member; 50/50 partnership with spouse Kenny Realph; Start date: 12/2014; Approximately 3 hours/month devoted to this business with all hours outside of securities trading hours; Duties: Manage rentals, collect rent, bookkeeping. 3.) Simple Retirement Solutions, LLC; Investment-related; Columbus, OH; Nature of Business: an operating company for marketing insurance-related sales and services and other independent contractor income; Managing Member; Start date: 07/31/2024. 4.) LegacyLock, LLC; Investment-related; 1234 S Power Rd #101, Mesa, AZ 85206; Estate Planning; Referral Agent; Compensation for referrals; Start date: 09/13/2024; Approximately 1 hour/month is devoted to this activity with 1 hour during securities trading hours; Per client request, sending their information to Legacy Lock for them to be connected with an attorney for estate planning.
CRS (Client Relationship Summary) - RIA
Click below to view Lillian Sophia Realph'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
August 30, 2024 - Present
TUCKER ASSET MANAGEMENT LLC
RIA
CRD#: 174844
Columbus, OH
Past
March 31, 2020 - December 31, 2023
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
COLUMBUS, OH
Past
March 31, 2020 - December 31, 2023
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
COLUMBUS, OH
Past
September 6, 2018 - February 24, 2020
THE HUNTINGTON INVESTMENT COMPANY
RIA
CRD#: 16986
COLUMBUS, OH
Past
September 6, 2018 - February 24, 2020
THE HUNTINGTON INVESTMENT COMPANY
BD
CRD#: 16986
COLUMBUS, OH
Past
June 14, 2016 - September 13, 2018
EMPOWER ADVISORY GROUP, LLC
RIA
CRD#: 112058
GREENWOOD VILLAGE, CO
Past
December 10, 2003 - September 13, 2018
EMPOWER FINANCIAL SERVICES, INC.
BD
CRD#: 13109
COLUMBUS, OH
Past
March 7, 2002 - November 17, 2003
FIDELITY DISTRIBUTORS COMPANY LLC
BD
CRD#: 17507
SMITHFIELD, RI
Past
May 14, 1998 - December 8, 2001
KEYBANC CAPITAL MARKETS INC.
BD
CRD#: 566
CLEVELAND, OH
Past
May 12, 1993 - April 22, 1998
FIDELITY DISTRIBUTORS COMPANY LLC
BD
CRD#: 17507
SMITHFIELD, RI
Past
October 9, 1991 - May 5, 1993
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
Past
November 23, 1988 - July 31, 1991
KEYBANC CAPITAL MARKETS INC.
BD
CRD#: 566
CLEVELAND, OH
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
Ohio(8/30/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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
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.
