Bruce R. Tucker

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CRD#: 1604559

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.

Bruce Robert Tucker was a registered financial professional .

Bruce is a previously registered financial professional and started their career in finance in 1986. Bruce had worked at 10 firms and has passed the Series 65, Series 63, Series 7, Series 51 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

SINCE 2006, I HAVE BEEN THE DIRECTOR OF THE BOARD AT STONEGATE STANDARDBRED FARMS, A NON INVESTMENT RELATED BUSINESS, LOCATED AT 500 WEST HILL ROAD, GLEN GARDNER, NJ 08826. I DETERMINE THE DIRECTION OF THE BUSINESS AND DEVOTE ABOUT 2 HOURS PER MONTH TO THE BUSINESS; NONE OF IT DURING SECURITITES TRADING HOURS. SINCE 1970 I HAVE BEEN A HORSE BREEDER, HARNESS RACING,AND OWNER OF STANDARDBRED BREEDING AND RACING , A NON INVESTMENT RELATED BUSINESS. I DEVOTE ABOUT 2 HOURS A MONTH TO THE BUSINESS; NONE OF THE TIME IS DURING SECURITIES TRADING HOURS. SINCE 1992 I HAVE BEEN OWNER OF STERLING FINANCIAL GROUP, INC., AN INVESTMENT RELATED MANAGEMENT COMPANY AND INSURANCE AGENCY LOCATED AT 60 BLUE HERON ROAD SUITE 201, SPARTA, NJ 07871. I DEVOTE APPROXIMATELY 30 HOURS A MONTH TO THE BUSINESS; 25 OF THE HOURS DURING SECURITIES TRADING HOUR. SINCE 2010 I AM DIRECTOR OF THE BOARD OF CTW FOUNDATION INC., AN INVESTMENT RELATED FIRM LOCATED AT 300 BELLEVUE PARKWAY, SUITE 100, WILMINGTON, DE 19809. I SPEND ABOUT AN HOUR PER MONTH MAKING INVESTMENT AND CHARITABLE DECISIONS; NONE OF THE TIME DURING SECURITIES TRADING HOURS.

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 13, 2007 - August 30, 2022

STERLING FINANCIAL PLANNING INC

RIA

CRD#: 108664

SPARTA, NJ

Past

March 21, 2003 - December 31, 2006

NATIONAL PLANNING CORPORATION

RIA

CRD#: 29604

SPARTA, NJ

Past

December 1, 1999 - December 31, 2009

NATIONAL PLANNING CORPORATION

CRD#: 29604

SPARTA, NJ

Past

May 19, 1992 - December 1, 1999

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

January 19, 1990 - May 19, 1992

ANCHOR NATIONAL FINANCIAL SERVICES, INC.

CRD#: 5774

Past

November 13, 1989 - February 12, 1990

FOCUS II SECURITIES, INC.

CRD#: 25068

Past

October 28, 1988 - November 24, 1989

CADARET, GRANT & CO., INC.

CRD#: 10641

SYRACUSE, NY

Past

July 12, 1988 - November 16, 1988

FOCUS SECURITIES, INC.

CRD#: 15023

Past

February 5, 1988 - July 20, 1988

MOORE & SCHLEY/MEEKER SHARKEY GROUP INC.

CRD#: 13502

Past

December 12, 1987 - August 1, 1988

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

Past

December 26, 1986 - February 4, 1988

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

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".

STERLING FINANCIAL PLANNING INC

CRD#: 108664 / SEC#: 801-56025

RIA

Registered Investment Advisory firm - (11/10/1998 Approved)

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.

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: 9/23/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/11/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/20/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 51

Date: 3/27/2003

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 7/2/1992

General Securities Principal Examination

Current Firm

STERLING FINANCIAL PLANNING INC

CRD#: 108664 / SEC#: 801-56025

RIA

Registered Investment Advisory firm - (11/10/1998 Approved)

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Contact information

Main Address

60 Blue Heron Road, Suite 201, Sparta, NJ 07871-2608

Mailing Address

Phone number

(973) 729-1234

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (14 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (3/26/2025)

Regulatory assets under management

Total Number of Accounts	1,602
AUM (Assets Under Management)	$ 671,921,507

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.

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Advisor Monitoring

Firm Stability Insights

Bruce R. Tucker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

SUNAMERICA SECURITIES, INC.

ANCHOR NATIONAL FINANCIAL SERVICES, INC.

FOCUS II SECURITIES, INC.

CADARET, GRANT & CO., INC.

FOCUS SECURITIES, INC.

MOORE & SCHLEY/MEEKER SHARKEY GROUP INC.

1717 CAPITAL MANAGEMENT COMPANY

INTEGRATED RESOURCES EQUITY CORPORATION

Primary Firm SEC Registration

STERLING FINANCIAL PLANNING INC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/23/1998

Series 63

Date: 12/11/1987

Series 7

Date: 12/20/1986

Series 51

Date: 3/27/2003

Series 24

Date: 7/2/1992

Current Firm

STERLING FINANCIAL PLANNING INC

Contact information

SEC notice filing (14 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

STERLING FINANCIAL PLANNING INC

TRUST BUT VERIFY

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