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MT

Mark R. Tucker

SOUTHSTATE|DUNCANWILLIAMS SECURITIES
Birmingham, AL 35223
Some features on this profile are disabled
CRD#: 1444500
MT

Professional summary

Mark Richardson Tucker is a registered financial professional currently at SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP. located in Birmingham, Alabama.

Mark is registered as a RR (Registered Representative) and started their career in finance in 1985. Mark has worked at 4 firms and has passed the Series 63, Series 7, Series 53 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Mark Richardson Tucker'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

June 16, 2022 - Present

SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.

Office #1: 600 Luckie Drive Suite 405, Birmingham, AL 35223
BD
CRD#: 6950
Birmingham, AL
Past

September 9, 1991 - November 9, 2012

NBC SECURITIES, INC.

BD
CRD#: 17870
BIRMINGHAM, AL
Past

May 1, 1989 - July 23, 1991

PORTER, WHITE & COMPANY, INC.

BD
CRD#: 7925
BIRMINGHAM, AL
Past

July 18, 1986 - May 5, 1989

NBC SECURITIES, INC.

BD
CRD#: 17870
BIRMINGHAM, AL
Past

December 23, 1985 - March 25, 1986

HAND INVESTMENT COMPANY, INC.

BD
CRD#: 7971

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 2/16/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/21/1985
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 12/2/1994
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/23/1994
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

SS
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
A. DUNCAN WILLIAMS, INC. | SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP. | DUNCAN-WILLIAMS, INC. | DUNCAN-WILLIAMS WEALTH MANAGEMENT GROUP

CRD#: 6950 / SEC#: 801-68820, 8-18971

BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information

Main Address
6750 Poplar Avenue Suite 300, Memphis, TN 38138
Mailing Address
6750 Poplar Avenue Suite 300, Memphis (shelby), TN 38138-7424
Phone number
(901) 260-6800
Established
Tennessee since 03/31/1969
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (49 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
SOUTHSTATE BANK, NATIONAL ASSOCIATIONOWNER
BONONNO, JOSEPH KEMPCHIEF FINANCIAL OFFICER7437632
CHERRY, JAMES CROWELLCHIEF COMPLIANCE OFFICER2870353
HODGES, STUART LEESVP, PRESIDENT7370566
HOWARD, HEATHER DIANECORPORATE SECRETARY/COMPLIANCE OFFICER4349745
TUCKER, KIMBERLY SHAYOPERATIONS MANAGER - PRINCIPAL OPERATIONS OFFICER7370391

Disclosures

Regulatory Event9
Arbitration1

Red Flags

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Company Information

SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.

CRD#: 6950Birmingham, AL 35223

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