Robert D. Tucker
Professional summary
Robert Durant 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 1991. Prior to being barred, Robert had worked at 22 firms, which includes AVENIR FINANCIAL GROUP, LAMPERT CAPITAL MARKETS INC., UNION FINANCIAL CORP., BISHOP ROSEN & CO. INC., BRILL SECURITIES INC., PHD CAPITAL, PRESTIGE FINANCIAL CENTER INC., WINDSOR STREET CAPITAL LP, JHS CAPITAL ADVISORS LLC, VFINANCE INVESTMENTS INC, GUNNALLEN FINANCIAL INC, SCHNEIDER SECURITIES INC., DPEC CAPITAL INC., BROADBAND CAPITAL MANAGEMENT LLC, EASTBROOK CAPITAL GROUP LLC, BLUESTONE CAPITAL CORP., JWGENESIS SECURITIES INC., NATIONAL SECURITIES CORPORATION, THE BOSTON GROUP, AMERICORP SECURITIES INC., COMMONWEALTH ASSOCIATES, GKN SECURITIES CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 5, 2012 - March 18, 2013
AVENIR FINANCIAL GROUP
January 13, 2010 - November 29, 2012
LAMPERT CAPITAL MARKETS INC.
October 9, 2009 - January 14, 2010
UNION FINANCIAL CORP.
June 17, 2008 - January 16, 2009
BISHOP, ROSEN & CO., INC.
December 21, 2007 - June 16, 2008
BRILL SECURITIES, INC.
October 8, 2007 - December 21, 2007
PHD CAPITAL
January 31, 2007 - September 27, 2007
PRESTIGE FINANCIAL CENTER, INC.
June 10, 2005 - February 5, 2007
WINDSOR STREET CAPITAL, LP
May 19, 2005 - May 27, 2005
JHS CAPITAL ADVISORS, LLC
February 9, 2005 - June 9, 2005
VFINANCE INVESTMENTS, INC
September 27, 2002 - March 10, 2005
GUNNALLEN FINANCIAL, INC
September 17, 2001 - November 22, 2002
SCHNEIDER SECURITIES, INC.
April 10, 2001 - August 30, 2001
DPEC CAPITAL, INC.
January 8, 2001 - April 27, 2001
BROADBAND CAPITAL MANAGEMENT, LLC
June 27, 2000 - February 2, 2001
EASTBROOK CAPITAL GROUP LLC
November 13, 1998 - July 25, 2000
BLUESTONE CAPITAL CORP.
October 14, 1998 - November 6, 1998
JWGENESIS SECURITIES, INC.
August 24, 1998 - September 29, 1998
NATIONAL SECURITIES CORPORATION
March 17, 1997 - July 24, 1998
THE BOSTON GROUP
December 1, 1995 - March 27, 1997
AMERICORP SECURITIES, INC.
March 22, 1993 - December 8, 1995
COMMONWEALTH ASSOCIATES
October 31, 1991 - April 13, 1993
GKN SECURITIES CORP.
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 62
Date: 10/29/1991
Corporate Securities Limited Representative ExaminationCurrent Firm
AVENIR FINANCIAL GROUP
CRD#: 148490 / SEC#: , 8-68031
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 3 |
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