Douglas R. Tucker

TUCKER FINANCIAL GROUP

Montgomery, AL 36117

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CRD#: 1428708

Professional summary

Douglas Ray Tucker JR, ChFC®, CLU®, who also goes by Douglas R Jr Tucker, is a registered financial advisor currently at TUCKER FINANCIAL GROUP located in Montgomery, Alabama.

Douglas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Douglas has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Douglas R Jr Tucker

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. TUCKER FINANCIAL GROUP, INDEPENDENT INSURANCE AGENT; INVESTMENT RELATED; 254 WINTON BLOUNT LOOP, MONTGOMERY, AL 36117; SINCE 11/2013; 5-HR/MTH DURING SECURITY HOURS; INSURANCE SALES. 2. M & T PROPERTIES LLC, PROPERTY MANAGEMENT, NOT INVESTMENT RELATED, COMMENCED 12/2001, LLC, 2 HRS/MONTH NOT DURING TRADING HOURS, 50% OWNERSHIP, ACTIVE OWNER.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas Ray Tucker 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®

ChFC^®

Chartered Financial Consultant

CLU^®

Chartered Life Underwriter

Experience

Current

September 25, 2018 - Present

TUCKER FINANCIAL GROUP

Office #1: 254 Winton Blount Loop, Montgomery, AL 36117

RIA

CRD#: 298292

Montgomery, AL

Past

October 31, 2008 - September 27, 2018

OSAIC SERVICES, INC.

RIA

CRD#: 133763

MONTGOMERY, AL

Past

October 31, 2008 - September 27, 2018

OSAIC SERVICES, INC.

CRD#: 133763

MONTGOMERY, AL

Past

October 1, 2002 - October 31, 2008

AMERICAN GENERAL SECURITIES INCORPORATED

CRD#: 13626

MONTGOMERY, AL

Past

October 24, 2000 - October 31, 2008

AMERICAN GENERAL SECURITIES INCORPORATED

RIA

CRD#: 13626

MONTGOMERY, AL

Past

October 27, 1988 - October 1, 2002

AMERICAN GENERAL EQUITY SERVICES CORPORATION

CRD#: 5435

HOUSTON, TX

Past

January 13, 1986 - August 12, 1988

PRUCO SECURITIES, LLC.

CRD#: 5685

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 FINANCIAL GROUP

TUCKER FINANCIAL GROUP | TUCKER JR., DOUGLAS, RAY

CRD#: 298292 / SEC#: 801-118704

RIA

Registered Investment Advisory firm - (5/13/2020 Approved)

Alabama

Registered Investment Advisory firm - (5/15/2020 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

Alabama
(9/25/2018)

IAR

Texas
(8/17/2022)

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

IAR

Series 65

Date: 1/3/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/10/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/27/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/25/2002

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/10/1986

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 7/11/2001

Investment Company Products/Variable Contracts Principal Examination

Current Firm

TUCKER FINANCIAL GROUP

TUCKER FINANCIAL GROUP | TUCKER JR., DOUGLAS, RAY

CRD#: 298292 / SEC#: 801-118704

RIA

Registered Investment Advisory firm - (5/13/2020 Approved)

Alabama

Registered Investment Advisory firm - (5/15/2020 Terminated)

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Contact information

Main Address

254 Winton Blount Loop, Montgomery, AL 36117

Mailing Address

Phone number

(334) 277-0500

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP FEE BROCHURE (3/14/2025)

FORM ADV PART 2A (3/14/2025)

Regulatory assets under management

Total Number of Accounts	4,430
AUM (Assets Under Management)	$ 271,585,954

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.

Contact information

xxxxx@xxxx.xxx

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Douglas R. Tucker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas Ray Tucker JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC SERVICES, INC.

OSAIC SERVICES, INC.

AMERICAN GENERAL SECURITIES INCORPORATED

AMERICAN GENERAL SECURITIES INCORPORATED

AMERICAN GENERAL EQUITY SERVICES CORPORATION

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

TUCKER FINANCIAL GROUP

State Registrations and Notice Filings

Exams

Series 65

Date: 1/3/2000

Series 63

Date: 1/10/1986

SIE

Date: 9/27/2018

Series 7

Date: 10/25/2002

Series 6

Date: 1/10/1986

Series 26

Date: 7/11/2001

Current Firm

TUCKER FINANCIAL GROUP

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TUCKER FINANCIAL GROUP

TRUST BUT VERIFY

Contact information

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