Robert L. Tucker
Professional summary
Robert Laurence Tucker was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Robert is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, Robert had worked at 21 firms, which includes VFINANCE INVESTMENTS INC, FIS BROKERAGE & SECURITIES SERVICES LLC, VISION SECURITIES INC., WESTROCK ADVISORS INC., TAFFERER TRADING LLC, GUNNALLEN FINANCIAL INC, S.W. BACH & COMPANY, HARRISON SECURITIES INC., NATIONAL SECURITIES CORPORATION, NEW WORLD SECURITIES INC., HAPOALIM SECURITIES USA INC., JOSEPH DILLON & COMPANY INC., THE CAMELOT GROUP INC., CORTLANDT CAPITAL CORPORATION, MEYERS POLLOCK ROBBINS INC., HUNTER INTERNATIONAL SECURITIES INC., GKN SECURITIES CORP., THE AGEAN GROUP INC, WELLS FARGO ADVISORS FINANCIAL NETWORK LLC, J. GREGORY & COMPANY INC., CHATFIELD DEAN & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 25, 2008 - August 28, 2008
VFINANCE INVESTMENTS, INC
June 23, 2006 - May 30, 2008
VFINANCE INVESTMENTS, INC
January 20, 2006 - July 7, 2006
FIS BROKERAGE & SECURITIES SERVICES LLC
October 11, 2004 - January 11, 2006
VISION SECURITIES INC.
September 24, 2004 - September 29, 2004
WESTROCK ADVISORS, INC.
May 26, 2004 - November 24, 2004
TAFFERER TRADING, LLC
February 19, 2004 - June 28, 2004
GUNNALLEN FINANCIAL, INC
October 20, 2003 - February 25, 2004
S.W. BACH & COMPANY
September 18, 2002 - October 21, 2003
HARRISON SECURITIES, INC.
March 27, 2002 - October 4, 2002
NATIONAL SECURITIES CORPORATION
October 29, 2001 - February 15, 2002
NEW WORLD SECURITIES, INC.
January 3, 2001 - June 26, 2001
HAPOALIM SECURITIES USA, INC.
May 18, 1998 - November 21, 2000
JOSEPH DILLON & COMPANY INC.
December 3, 1997 - December 17, 1997
THE CAMELOT GROUP, INC.
December 18, 1995 - July 24, 1997
CORTLANDT CAPITAL CORPORATION
November 2, 1995 - December 8, 1995
MEYERS POLLOCK ROBBINS, INC.
September 11, 1995 - September 28, 1995
HUNTER INTERNATIONAL SECURITIES, INC.
March 16, 1995 - September 6, 1995
CORTLANDT CAPITAL CORPORATION
January 4, 1995 - February 1, 1995
GKN SECURITIES CORP.
October 24, 1994 - February 1, 1995
THE AGEAN GROUP, INC
July 1, 1994 - November 8, 1994
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
May 17, 1993 - July 29, 1994
J. GREGORY & COMPANY, INC.
January 4, 1993 - May 20, 1993
CHATFIELD DEAN & CO., 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
Series 55
Date: 6/29/2004
Limited Representative-Equity Trader ExamCurrent Firm
VFINANCE INVESTMENTS, INC
CRD#: 44962 / SEC#: , 8-50898
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VFINANCE INVESTMENTS HOLDINGS | SHAREHOLDER | |
| GROENEVELD, WILLIAM LAWRENCE | HEAD TRADER, PRESIDENT, CEO | 2127534 |
| GROENEVELD, WILLIAM LAWRENCE | DIRECTOR | 2127534 |
| JOHNSON, KAY ALISON | CCO | 1583193 |
| KNOPF, FRED N | GENERAL COUNSEL | 6390806 |
| MULLEN, MICHAEL ANTHONY | DIRECTOR | 1428116 |
| WATSON, NATALIA TOVAR | FINOP/CFO | 4782735 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 6 |
Red Flags
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