James I. Tucker
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Ira Tucker, who also goes by Jim Tucker, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1987. James had worked at 8 firms and has passed the Series 63, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 22, 2006 - May 30, 2014
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
January 13, 2006 - October 4, 2006
VOYA FINANCIAL ADVISORS, INC.
February 24, 2004 - January 13, 2006
RESOURCE HORIZONS GROUP LLC
March 21, 2000 - September 4, 2002
SLD AMERICA EQUITIES, INC.
April 10, 1997 - March 8, 2000
WALNUT STREET SECURITIES, INC.
October 6, 1994 - March 12, 1997
HORNOR, TOWNSEND & KENT, LLC
January 23, 1990 - August 6, 1991
CORKERY INVESTMENTS, INC.
August 11, 1987 - March 21, 1988
UNIVERSITY PARTNERS INVESTMENT GROUP, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
