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SS

Samuel A. Stuckey

THE FRAZER LANIER COMPANY
Montgomery, AL 36103
Some features on this profile are disabled
CRD#: 1501121
SS

Professional summary

Samuel Ashton Stuckey, who also goes by S Ashton Stuckey, is a registered financial professional currently at THE FRAZER LANIER COMPANY, INCORPORATED located in Montgomery, Alabama.

Samuel is registered as a RR (Registered Representative) and started their career in finance in 1989. Samuel has worked at 6 firms and has passed the Series 63, Series 52TO, Series 79TO, Series 99TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

S Ashton Stuckey

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 Samuel Ashton Stuckey'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®
None

Experience

Current

May 26, 1998 - Present

THE FRAZER LANIER COMPANY, INCORPORATED

Office #1: 300 Water Street, Montgomery, AL 36103Office #2: 300 Water Street, Montgomery, AL 36104
BD
CRD#: 7089
Montgomery, AL
Past

July 20, 1995 - October 6, 1995

UNION PLANTERS BROKERAGE SERVICES INC.

BD
CRD#: 27348
Past

September 30, 1993 - July 28, 1997

INTL CUSTODY & CLEARING SOLUTIONS INC.

BD
CRD#: 23952
BIRMINGHAM, AL
Past

November 30, 1990 - April 23, 1998

STERNE, AGEE & LEACH, INC.

BD
CRD#: 791
BIRMINGHAM, AL
Past

April 16, 1990 - September 13, 1990

SOUTHTRUST SECURITIES, LLC

BD
CRD#: 17922
BIRMINGHAM, AL
Past

September 28, 1989 - March 7, 1991

NF CLEARING, INC.

BD
CRD#: 14285
PHILADELPHIA, PA

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(5/26/1998)
RR
Florida
(3/7/2005)
RR
Georgia
(3/4/2005)
RR
Louisiana
(1/16/2008)
RR
Mississippi
(3/4/2005)
RR
Montana
(1/16/2008)
RR
North Carolina
(3/7/2005)
RR
Ohio
(6/17/1998)
RR
South Carolina
(6/11/1998)
RR
Tennessee
(4/19/2023)
RR
Texas
(1/23/2008)

Exams

State Security Law Exam
RR
Series 63
Date: 1/28/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/23/1991
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/3/1991
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

TF
THE FRAZER LANIER COMPANY, INCORPORATED
THE FRAZER LANIER COMPANY, INCORPORATED

CRD#: 7089 / SEC#: , 8-20267

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

Main Address
300 Water Street, Montgomery, AL 36103
Mailing Address
P.o. Box 5190, Montgomery, AL 36103
Phone number
(334) 265-8483
Established
Delaware since 01/01/1976
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (12 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
MAZYCK, JOHN BARNWELLEXECUTIVE VICE PRESIDENT3134892
GRUBBS, ROBERT JASONEXECUTIVE VICE PRESIDENT/CHIEF COMPLIANCE OFFICER2641780
YOUNG, ROBERT HOUSTON JRCEO/PRESIDENT475334
WALDROP, SUSAN SHEPHERDCFO/SECRETARY/TREASURER4104169

Disclosures

Regulatory Event5

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.

Company Information

THE FRAZER LANIER COMPANY, INCORPORATED

CRD#: 7089Montgomery, AL 36103

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