Michael J. 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.
Michael Joseph Tucker III was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1987. Michael had worked at 5 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 11, 1991 - December 19, 1994
VALLEY FORGE SECURITIES, INC .
May 1, 1989 - October 24, 1990
W.H. NEWBOLD'S SON & CO., INC.
March 2, 1989 - May 1, 1989
HOPPER SOLIDAY & CO., INC.
September 13, 1988 - March 9, 1989
HIBBARD BROWN & CO., INC.
May 21, 1987 - September 12, 1988
OSAIC FS, 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
VALLEY FORGE SECURITIES, INC .
CRD#: 20892 / SEC#: , 8-38587
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
| Arbitration | 6 |
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.
