Robert H. Ruhm

TUCKER ASSET MANAGEMENT LLC

Littleton, CO 80120

Some features on this profile are disabled

CRD#: 1375598

Professional summary

Robert Hastings Ruhm, who also goes by Bob Rice, Obo Rice, Robert Hastings Rice, Bob Ruhm, Robert H Ruhm, is a registered financial advisor currently at TUCKER ASSET MANAGEMENT LLC located in Littleton, Colorado.

Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Robert has worked at 15 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bob Rice | Obo Rice | Robert Hastings Rice | Bob Ruhm | Robert H Ruhm

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.

Tucker Advisory Group, Investment-related, Littleton, CO, Senior Business Developer, Start Date 11/1998, approximately 160 hours per month with 160 hours per month during securities trading hours, recruiting insurance agents for insurance national marketing organization.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Hastings Ruhm'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®

None

Experience

Current

August 10, 2021 - Present

TUCKER ASSET MANAGEMENT LLC

Office #1: 1520 West Canal Court Suite 100, Littleton, CO 80120

RIA

CRD#: 174844

Littleton, CO

Past

February 18, 2009 - December 31, 2010

BROKER DEALER FINANCIAL SERVICES CORP.

CRD#: 8073

LITTLETON, CO

Past

January 3, 2007 - February 2, 2007

FORESIDE FUND SERVICES, LLC

CRD#: 46106

SEATTLE, WA

Past

June 2, 2006 - December 31, 2006

ALPS DISTRIBUTORS, INC.

CRD#: 16853

SEATTLE, WA

Past

May 21, 2004 - December 31, 2005

JPMORGAN ASSET MANAGEMENT

RIA

CRD#: 107247

COLUMBUS, OH

Past

May 4, 2001 - October 27, 2005

JPMORGAN DISTRIBUTION SERVICES, INC.

CRD#: 104234

COLUMBUS, OH

Past

September 20, 1997 - March 2, 2001

NTB FINANCIAL CORPORATION

CRD#: 7425

HIGHLANDS RANCH, CO

Past

June 25, 1993 - September 5, 1997

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

CRD#: 840

BOSTON, MA

Past

January 31, 1992 - June 29, 1993

OLD SLIP CAPITAL MANAGEMENT, INC.

CRD#: 7360

NEW YORK, NY

Past

December 7, 1988 - November 6, 1991

EATON VANCE DISTRIBUTORS, INC.

CRD#: 8039

BOSTON, MA

Past

January 12, 1988 - July 8, 1988

GAF FINANCIAL AND INSURANCE SERVICES

CRD#: 14123

Past

January 1, 1988 - July 9, 1988

PAMCO SECURITIES AND INSURANCE SERVICES

CRD#: 11028

Past

June 2, 1987 - January 27, 1988

FIRST AFFILIATED SECURITIES, INC.

CRD#: 6871

Past

November 5, 1986 - June 8, 1987

MCKEWON & TIMMINS

CRD#: 8647

Past

June 19, 1985 - November 6, 1986

MORGAN STANLEY DW INC.

CRD#: 7556

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

Colorado
(8/10/2021)

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

IAR

Series 65

Date: 7/27/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/17/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/15/1985

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/19/1997

General Securities Principal 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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Craig Johlfs

LPL FINANCIAL LLC

IAR

Greenwood Village, CO

Ralph Jones

OPPENHEIMER & CO. INC.

IAR

Denver, CO

Lorie Jones

TANDEM FINANCIAL, LLC

IAR

GREENWOOD VILLAGE, CO

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Robert H. Ruhm

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Hastings Ruhm's CRS (Customer Relationship Summary).

Certified licenses

Experience

BROKER DEALER FINANCIAL SERVICES CORP.

FORESIDE FUND SERVICES, LLC

ALPS DISTRIBUTORS, INC.

JPMORGAN ASSET MANAGEMENT

JPMORGAN DISTRIBUTION SERVICES, INC.

NTB FINANCIAL CORPORATION

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

OLD SLIP CAPITAL MANAGEMENT, INC.

EATON VANCE DISTRIBUTORS, INC.

GAF FINANCIAL AND INSURANCE SERVICES

PAMCO SECURITIES AND INSURANCE SERVICES

FIRST AFFILIATED SECURITIES, INC.

MCKEWON & TIMMINS

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

TUCKER ASSET MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/27/2021

Series 63

Date: 7/17/1985

Series 7

Date: 6/15/1985

Series 24

Date: 12/19/1997

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

Similar Advisors